US · guidance
BOP Program Statement 7300.09 § 35
Recreation:
a. Are in-house recreation activities (i.e.
television viewing, table games, exercise equipment, etc.) made
available to residents?
Discussion/Findings:
PS 7300.09
1/12/98
Attachment 4-7, Page 24
DISCIPLINE
Determine if the contractor follows required disciplinary
procedures.
No deviation is permitted
1. Has the contractor provided a list of center rules and
minor sanctions to the CCM for approval?
2. Does the contractor provide each resident with a copy
of BOP Prohibited Acts (Attachment A), approved center rules,
written description of the disciplinary system within the center
and time limits thereof? Are they posted in a conspicuous place?
Is a receipt signed by the resident and placed in the resident's
file?
3. Other than Prohibited Acts in the "Greatest" category,
does the contractor always attempt to informally resolve
incidents by imposition of approved contractor minor sanctions?
4. Are supervision cases subject to center rules?
5. When a formal hearing by the CDC occurs, does the
contractor take appropriate actions?
6. Has the contractor demonstrated an understanding of
major sanctions? Are they appropriately recommended?
7. Discuss the contractor's performance in following
disciplinary procedures and time limits when informal resolution
was not possible or appropriate: (major sanctions)
Discussion/Findings:
PS 7300.09
1/12/98
Attachment 4-7, Page 25
SERVICES
Food Services
1. Do food services consist of meals that appear to be
nutritional and well-balanced?
2. Are all residents, regardless of employment or
financial status, provided the opportunity for food services
throughout their stay in the center at no cost?
3. Does the contractor provide a food service program
either by contractor preparation and serving in the facility, by
providing food to the resident for preparation by the resident,
or through a sub-contractual agreement with a food service
provider (i.e., restaurant, caterer, etc.)?
4. Are menus prepared and available to the residents?
5. Does a registered dietician or licensed physician or
nutritionist approve the nutritional value of the contractor's
menu? (annually if fixed and semi-annually if menus are not
fixed).
6. Does the contractor make arrangements for special diets
when required by a physician or dentist?
7. Are provisions made to accommodate residents who work
irregular hours and not available at mealtime?
8. If the contractor provides food services in the
facility, is an area separate from sleeping areas and adequate in
size to accommodate the majority of the residents designated as a
dining area?
9. Is the dining area, regardless of the food service
method utilized by the contractor, part of an establishment that
serves alcoholic beverages?
10. If the contractor prepares and serves meals in the
facility, do all persons preparing food comply with Federal,
state, and local health and sanitation codes? (In the event of
any conflict in these codes, the most stringent will apply.)
PS 7300.09
1/12/98
Attachment 4-7, Page 26
Does the contractor meet the following minimum
requirements:
a. Food is in sound condition, free from spoilage,
filth, or other contamination and is safe for human consumption.
Food is obtained from sources that comply with all laws relating
to food and food labeling.
b. Food containers are not stored under exposed or
unprotected sewer lines or water lines, except automatic fire
protection sprinkler heads that may be required by law. The
storage of food in toilet rooms or vestibules is prohibited.
c. Potentially hazardous food is kept at an internal
temperature of 40 degrees Fahrenheit or below, or at an internal
temperature of one hundred forty degrees Fahrenheit or above
during display and service, except that rare roast beef is held
for service at a temperature of at least one hundred thirty
degrees Fahrenheit.
d. No person, while infected with a disease in a
communicable form that can be transmitted by foods or who is a
carrier of organisms that cause such a disease or while afflicted
with a boil, an infected wound, or an acute respiratory
infection, is working in a food service establishment in any
capacity in which there is a likelihood of such person
contaminating food or food-contact surfaces with pathogenic
organisms or transmitting disease to other persons.
e. Employees thoroughly wash their hands and the
exposed portions of their arms with soap and warm water before
starting work, during work as often as necessary to keep them
clean, and after smoking, eating, drinking or using the toilet.
Employees keep their fingernails clean and trimmed. Long hair or
beards are tied up and covered with a hat, beard guard or put in
a hairnet.
f. Tableware is washed, rinsed, and sanitized after
each use.
g. Cleaned, sanitized equipment and utensils are
handled in a way that protects them from contamination. Spoons,
knives and forks are touched only by their handles. Cups,
glasses, bowls, plates and similar items are handled without
contact with inside surfaces or surfaces that contact the user's
mouth.
PS 7300.09
1/12/98
Attachment 4-7, Page 27
h. Garbage and refuse is kept in durable, easily
cleanable, insect-proof and rodent-proof containers that do not
leak and do not absorb liquids.
i. Effective pest control measures are utilized to
minimize the presence of rodents, flies, cockroaches, and other
insects on the premises. The premises are kept in such condition
as to prevent the harboring or feeding of insects or rodents.
11. If the contractor provides meals to residents through
arrangements with a local vendor (restaurant, caterer, etc.), do
they have a copy of their agreement, which ensures the following:
a. that the establishment is a full-service
organization, capable of providing breakfast, lunch, and dinner
meals; and,
b. that the establishment has a valid state or local
license, certificate or permit, as applicable, to operate,
prepare and/or serve food and meets all state and/or local
sanitation and health codes.
12. Is appropriate space and equipment available for the
proper storage and refrigeration of food supplies?
13. Are dry food supplies stored off the floor in a clean,
dry, ventilated room not subject to waste water backflow or other
contamination?
14. Are foods needing refrigeration stored at thirty-five
to thirty-eight degrees Fahrenheit? Is a thermometer
conspicuously displayed inside the refrigerator?
15. If the facility has a kitchen, is the kitchen and
dining area ventilated, properly furnished, and clean?
16. Does the contractor ensure food or prepared meals do
not have poppy seeds as an ingredient?
17. Are residents advised not to eat anything made with
poppy seeds?
Medical Services
18. In an emergency, does the contractor obtain the
necessary medical treatment required to conserve the resident's
health and notify the CCM of treatment within twenty-four hours?
PS 7300.09
1/12/98
Attachment 4-7, Page 28
19. If the resident cannot pay, does the contractor pay for
such treatment and submit the paid invoice with the regular
monthly billing for reimbursement by the government?
20. Are written arrangements made with a licensed general
hospital, private licensed physician or clinic to ensure that
emergency medical service is available twenty-four hours a day?
21. Does the contractor make arrangements for a medical
examination of residents within twenty four hours of suspecting
communicable or debilitating physical problems? Does the
contractor pay for the examination and submit the paid invoice
with the regular monthly billing for reimbursement by the
government?
22. Except for transfers from a Federal institution, when
an offender is admitted directly to the center does the
contractor ensure that a physical examination is accomplished
within five working days of arrival at the center?
23. Is the examination a general office physical comparable
to an insurance type physical, (i.e., routine laboratory studies
- CBC, urinalysis, serological tests for syphilis, chest X-ray,
Tine Test, etc.) that does not require hospitalization to
complete the exam?
24. Are the results of the evaluation appropriately
documented and made a part of the resident file, with a copy of
the exam's findings sent to the CCM?
25. Does the contractor pay for the examination and submit
a copy of the paid invoice with the regular monthly billing for
reimbursement by the government?
26. Does the contractor have basic first aid supplies, as
provided in the American Red Cross First Aid Manual, on-site at
all times?
27. Is at least one staff member on each shift trained in
emergency first aid and cardiopulmonary resuscitation (CPR)?
28. Does the contractor have written policy and procedure
regarding a resident's possession and use of prescribed
medication and over-the-counter drugs?
Discussion/Findings:
PS 7300.09
1/12/98
Attachment 4-7, Page 29
RECORDS AND REPORTS
1. Does the contractor maintain a case record for each
resident that includes all significant decisions and events
relating to that resident, and at a minimum, the following
information:
a. initial intake information form
b. case information from referral source, if
available
c. case history/social history
d. medical record, when available
e. individual program plan
f. signed release of information and other consent
forms
g. evaluation and progress reports
h. current employment data
i. signed acknowledgment of receipt of program rules
and disciplinary policy
j. grievance and disciplinary record
k. documented legal authority to accept resident
l. referrals to other agencies
m. terminal report
n. record of resident finances
2. In order to facilitate the planning, implementation,
and evaluation of programs, are entries into the case records
dated and signed by the staff member making the entry?
3. On at least a quarterly basis, does the contractor
perform an audit of case records to ensure that current and
accurate material is being entered into the record?
PS 7300.09
1/12/98
Attachment 4-7, Page 30
4. Does the contractor release information (other than
contractor generated information) from the resident's file to the
resident only with CCM approval?
5. Does the contractor ensure that information is not
released to any other individual(s) unless Attachment I,
Conditions of Residential Community Programs, has been executed?
6. Does the contractor provide appropriate safeguards to
minimize the possibility of theft, loss or destruction of
resident file records?
7. Does the contractor ensure only authorized staff have
access to resident records?
8. Does the contractor complete the Urine Sampling Program
Report (Attachment M) on a monthly basis and forward it to the
CCM along with the monthly billing? Does a copy of this report
go to the Chief United States Probation Officer?
9. Does the contractor maintain a chronological log for
all residents tested under the urine testing program?
10. Does the urinalysis log include specimen number,
resident's name and number, date sample collected, staff member
witnessing collection, reason for test, results and date
received?
11. Are these individual logs placed in the resident's
file?
12. When submitting a sample for testing, does the
contractor complete the sampling ID slip and place it in the
individual resident's file so the results can be compared with
this slip when received from the laboratory?
13. Does the contractor maintain a record of the following
resident finances: wages and salaries, number of hours worked,
amount and type of deductions (i.e.,Federal taxes, state taxes,
social security contributions, etc.), savings, and amount of
subsistence collected?
14. Except for supervision cases, is the BP-ADMIN-193 (In-Transit Information) completed by the contractor and given to the
U. S. Marshal, or other appropriate Federal authority, on all
resident program failures?
Discussions/Findings:
PS 7300.09
1/12/98
Attachment 4-7, Page 31
RELEASE PREPARATION
1. At least six weeks prior to the release date, does the
contractor present a release plan as follows:
a. in parole cases - to USPO for approval, with a
copy to the CCM;
b. in mandatory release cases - although no
government approval is necessary, a release plan is developed and
sent to USPO, with a copy to the CCM;
c. in expiration cases or supervised release cases -
although no government approval is necessary, a release plan is
developed and sent to the CCM.
2. Do the plans include the verified specifics of the
proposed residence, employment or training program, and family
situation?
3. If an approved plan cannot be developed by the release
date in parole cases, does the contractor immediately notify the
CCM and U.S. Parole Commission of the delay? Does the contractor
ensure the resident is not released until a plan is approved and
parole certificates are received?
4. Does the contractor understand the USPO may wish to
comment on the adequacy of the release plan on other types of
release cases, although approval is not required? (mandatory
release, expiration and supervision cases with a fixed term of
center residence as a supervision condition)
5. Does the contractor verify the correctness of each
resident's release date with the CCM prior to each resident's
release?
6. Are release dates of any Federal prisoner retarded,
advanced or otherwise changed without approval of the CCM or U.S.
Parole Commission?
Release Certificates:
7. For mandatory release cases, does the contractor
execute Mandatory Release Certificates at the time of the
resident's release?
PS 7300.09
1/12/98
Attachment 4-7, Page 32
8. For parole cases, after the USPO has formally accepted
the proposed release plan, does the contractor immediately
request parole certificates from the appropriate regional office
of the U.S. Parole Commission, with a copy to the CCM?
9. Does the contractor obtain the signature of the parolee
on the certificate and execute formal discharge procedures?
10. If a parolee refuses to sign the certificate, does the
contractor understand the resident may not be released and the
matter should be referred to the U. S. Parole Commission for
resolution?
Release Clothing, Funds, and Transportation:
11. When necessary, does the contractor develop and submit
an itemized plan for a resident's release clothing, funds, and
transportation needs to the CCM for approval?
12. If approved, does the contractor provide the releasee
with funds, clothing, and make the necessary transportation
arrangements for the resident?
13. Is documentation (i.e., paid invoices, etc.) forwarded
with the monthly billing for reimbursement by the government of
CCM approved expenditures?
14. At release, do staff ensure the releasee understands
his status, the condition of any supervision required, and a
resident who will be under supervision of a USPO must report to
that office within seventy-two hours after release?
15. Does the contractor ensure that residents take all of
their personal property?
16. When a resident is released during working hours, does
the contractor immediately notify the CCM by telephone, or if the
release occurs outside working hours, the next working day?
17. Are terminal reports completed within three working
days of the resident's release and include, in addition to the
identifying data, a description of the resident's adjustment
while under the care of the contractor, a prognosis for future
adjustment, the amount of money in savings and/or contributions
to dependents, and his/her release plans, including residence,
employment and salary?
PS 7300.09
1/12/98
Attachment 4-7, Page 33
18. Does the contractor follow required distribution:
original to CCM, copy to appropriate U.S. Parole Commissioner and
a copy to appropriate USPO?
Release Documents:
19. Does the contractor complete the following documents
and distribute them within three working days of the resident's
release:
a. Release Certificates (Parole, Special Parole Term,
Mandatory Release): dated signature of releasee, and staff;
Distribution: original to releasee, copies to appropriate
Regional U.S. Parole Commission, USPO, and CCM.
b. Notice of Release and Arrival: Distribution:
original to releasee, copies to appropriate Regional U.S. Parole
Commission, USPO, and CCM.
Property Disposition:
20. Does the contractor establish and maintain a system of
accountability and method of disposition of residents personal
property to be implemented in the event of a resident's death,
escape, or transfer?
21. Are inventories of resident property accomplished by no
less than two staff, and both sign the completed inventory list?
22. Is a resident's property immediately secured, and
inventoried within eight hours of a resident's death, escape, or
transfer?
23. If a resident is being held in a local jail, is the
individual identified as "to be notified in case of emergency"
advised to pick up the resident's property?
File Disposition:
24. Upon completion or termination of the resident's
program, does the contractor forward the resident's file to the
CCM? (The contractor may retain public information which can
identify the former resident, copies of research data which have
been depersonalized and copies of reports generated by the
contractor.)
Supervision Cases:
PS 7300.09
1/12/98
Attachment 4-7, Page 34
25. When the term of residence specified by the court has
been completed, or when the center determines that the resident's
program is completed or that participation in the center's
program will produce no further significant benefits, do staff
notify the USPO who will then make other arrangements for the
residence, program, and welfare of the releasee?
26. Are terminal reports completed by the contractor and
forwarded to the USPO and CCM?
Discussion/Findings:
ESCAPES
1. Does the contractor notify the U.S. Marshal and CCM
immediately upon identifying a resident as an escapee?
2. Does the contractor understand that residents under
supervision are not in the custody of the Attorney General
(probationers, parolees, pre-trial defendants, mandatory
releases, supervised releases) and cannot be considered escapees?
3. Does the contractor understand that unauthorized
absences of residents under supervision are to be immediately
reported to the supervising authority? Is the CCM notified no
later than the next business day?
Discussion/Findings:
SERIOUS ILLNESS, INJURY, OR DEATH OF A RESIDENT
1. Whenever a resident becomes seriously ill or requires
emergency medical treatment, does the contractor immediately
notify the CCM, USPO, and the resident's family or next of kin?
PS 7300.09
1/12/98
Attachment 4-7, Page 35
2. In the event of an inmate resident's death, does the
contractor immediately notify the CCM, USPO, and the resident's
family or next of kin?
3. Do center staff arrange for a fingerprint (right thumb
or right index finger) to be taken, and date and sign the
fingerprint card to ensure that positive identification has been
made?
4. Is the fingerprint card sent by certified mail to the
CCM?
5. If death is due to violence, accident surrounded by
unusual or questionable circumstances, or sudden and the deceased
was not under medical supervision, do center staff notify
appropriate law enforcement officials of the local jurisdiction
to review the case and examine the body?
6. When there is no longer an official interest in the
body, is it turned over to family members or next of kin?
7. If the family declines the body or is unable to afford
funeral expenses, does the contractor contact the CCM for
disposal instructions?
8. Is personal property of a deceased resident inventoried
by next of kin?
Discussion/Findings:
RESIDENTS UNDER SUPERVISION
1. Does the contractor only accept persons described in
this chapter when they have been approved for placement by the
CCM?
2. Does the contractor provide all services and programs
cited in the Statement of Work for all persons described in this
chapter, except as otherwise specified below:
a. Do center staff in cooperation with the USPO
develop an individual program plan for each resident?
PS 7300.09
1/12/98
Attachment 4-7, Page 36
b. Does the contractor notify the USPO of medical
problems of probationers, parolees, mandatory releases,
supervised releases, and pre-trial defendants? (Except for
entrance physical exams, all medical and dental expenses for
persons under supervision of a USPO are the responsibility of
the resident.) Do the staff assist the resident in finding
appropriate community resources?
c. Is permission to drive approved by the center
director and the supervising USPO?
d. Are persons under supervision subject to center
rules and minor sanctions?
e. If a prohibited act is alleged to have been
committed by a resident under supervision which would require a
recommendation of a major sanction and a formal disciplinary
hearing, do center staff forward reports of such misconduct with
recommendations to the USPO for disposition? Is the original of
the report forwarded to the USPO, with a copy to the CCM?
f. Does the contractor ensure that persons under
supervision are not placed in United States Marshal custody?
g. Are unauthorized absences of persons described in
this chapter reported immediately to the USPO, and the CCM is
notified the next business day?
h. Are costs of drug counseling and urine
surveillance the administrative and fiscal responsibility of the
USPO? Does the contractor work closely with the supervising USPO
to coordinate services?
i. Are supervision cases subject to the same
subsistence collection procedures as committed residents?
j. When the term specified by the court has been
satisfied, or the center director determines that a resident's
program is completed or that participation in the center's
program will produce no further significant benefits, do staff
notify the USPO (with a copy to the CCM) requesting program
termination?
k. Is a terminal report completed by the contractor
and forwarded to the USPO, with a copy to the CCM?
l. Are residents identified in this chapter eligible
for furloughs or home confinement?
PS 7300.09
1/12/98
Attachment 4-7, Page 37
m. Are absences other than "sign-out" or pass
approved by the supervising USPO, and documented?
n. In the event of a death of a resident under
supervision, does the contractor immediately notify the CCM and
USPO?
Discussion/Findings:
RESEARCH AND EVALUATION
1. Does the contractor have an organized system of
information collection, storing, retrieval, reporting, and
review?
2. Are contractor staff and the CCM considered
instrumental in identifying information needs, and consulted when
policies and procedures are being developed?
Discussion/Findings:
PS 7300.09
1/12/98
Attachment 4-7, Page 38
LIST NAME AND POSITION OF LIST NAME AND REGISTER NO.
STAFF INTERVIEWED DURING OF RESIDENTS INTERVIEWED
VISIT: DURING VISIT:
(Add Comments)
SUMMARY
Indicate areas in which contract needs improvement and steps to
be taken to accomplish, including time frames for completion.
(Use additional sheets, if necessary.)
Finding Corrective Action Should failure to correct
Required finding result in
adverse action (i.e.,
cancellation of contract)?
(Give reasons.)
PS 7300.09
1/12/98
Attachment 4-7, Page 39
RESIDENT INTERVIEW WORKSHEET
This is a guideline only. It is not meant to be read to the
resident word by word nor is it meant to be all inclusive.
1. Are counseling staff available during the hours you are free
from work?
2. Do you have any problems getting to and from work. What mode
of transportation do you use?
3. Do you have any problem getting clean bed linens, towels,
etc.? How often? Are there facilities available to wash clothes?
4. Do you have a program plan? How was it worked out? Do you
review it regularly with a staff member?
5. Have you participated in a fire drill? If so, when?
6. How did you get your job? Is it the kind of job you think you
should have? If not, has a job change been discussed with staff?
7. Do you have a drug aftercare condition? If yes, what kind of
program are you in?
Have you met with the U.S. Probation Officer?
8. What do you think about the food?
9. Are disciplinary measures fair and equal?
10. What is the purpose of you being placed in the CCC?
11. Are you aware of any illegal activities or preferential
treatment concerning staff and residents?
PS 7300.09
1/12/98
Attachment 4-7, Page 40
USPO INTERVIEW WORKSHEET
1. Program Planning: Have you been invited to visit the center
to meet with staff and/or residents at the facility?
2. Drugs and Alcohol: For all persons with a condition of drug
aftercare, are you receiving advance notification of their
arrival? Are planning conferences being held within two weeks
after the client's arrival?
How often do you receive copies of the Urine Sampling
Reports and are they on time?
3. Furloughs: Are you being consulted in the case of
furloughs? (Furloughs are not the same as passes. This is a
formal procedure and is usually for 3 to 5 days.)
4. Home Confinement: Are you being consulted regarding
residents being placed on Home Confinement?
5. Release Procedures: Are you receiving parole plans six
weeks prior to a resident's release date?
Are you satisfied with the quality of the plans?
Are residents receiving adequate instructions at time of
release?
Are you receiving Terminal Reports in a timely fashion? Are
they satisfactory?
Are you receiving release certificates?
6. Are residents benefiting by being released through this CCC?
How?
7. What is your opinion regarding placement of direct court
commitments and persons under supervision in this center?
PS 7300.09
1/12/98
Attachment 4-7, Page 41
CONTRACTOR INTERVIEW WORKSHEET
1. Do you have any problems with your billings?
Are you receiving your payments on time?
2. Are referral packets from CCMs satisfactory? If not, list
the institutions and the problem(s).
3. Do you receive transfer packets from institutions prior to a
resident's arrival? Do they contain all the necessary documents?
4. Do institutions give the Contractor notice of pending
arrivals, including pertinent data such as method of
transportation, departure and arrival time, etc.?
5. Do residents receive funds for transfer to the facility?
(How much? Any problems?)
6. For residents on medication:
a. Are they given enough medical supplies and prescription
medicine from the institution to last while in transfer to your
facility?
b. Are you receiving a 30-day supply for the residents
from an institution? List problem institutions and inmates.
7. Are you having any problems with the Probation Office
regarding commitments of Residents Under Supervision?
Are you receiving parole plan approvals in a timely fashion?
8. Are you receiving cooperation from the U.S. Marshals
Service?
9. Other Comments: (i.e., Problems with CCM communications,
contract compliance, adverse publicity, etc.)
PS 7300.09
1/12/98
Attachment 4-8, Page 1
COMMUNITY CORRECTIONS CENTER INTERIM MONITORING
INSTRUMENT
1. Date of Review:
2. Date of Last Audit: Type:
3. Community Corrections Manager (Name, Location, Code):
4. Facility (Name, Location, Code):
5. Facility Director:
6. Facility Operating Capacity:
7. Total Facility Population:
8. Bureau of Prisons Population:
9. Major Moderate Minor Use
10. Average Monthly Inmate-days Since Last Audit:
Quota:
11. Is This Facility Co-Correctional? Yes: No:
If so, are Sleeping Areas Separated? Yes: No:
Is There Supervision and Separation by Sex to Provide
Privacy and Protection? Yes: No:
12. Comment on Areas Found Deficient During Last Audit (Attach
Extra Sheets, if Necessary):
13. Comment on Life Safety Issues (Obtain Copy of Latest Fire
Marshal Inspection Report, if Appropriate):
14. Comment on General Sanitation (Including Food Service
Program and Obtain Latest Copy of Food Service Establishment
Inspection Report, if Appropriate):
PS 7300.09
1/12/98
Attachment 4-8, Page 2
15. Comment on Inmate Accountability:
16. Comment on Employment Placement Program (% of Inmates
Working Full-Time, Part-Time, Supporting Documentation, etc.):
17. Number of Escapes and Number of Program Failures (Other
Than Escapes) Since Last Inspection.
18. Other Areas Considered Important to this Contract:
19. Date by which Contractor is to Respond to Notice of
Deficiencies:
20. Date of Next Audit: Type:
Prepared By/Job Title Date
Reviewed By/Job Title Date
PS 7300.09
1/12/98
Attachment 4-9, Page 1
CONTRACT JAIL SERVICES MONITORING INSTRUMENT
1. Date of Inspection: Scheduled: ( ) Unscheduled: ( )
2. CCM (name, location, code):
3. Facility (name location, code):
4. Chief Executive Officer (name):
5. Facility Operating Capacity: Population on day of
inspection: ADP Last Six Months:
6. Federal population on day of inspection:
Federal Offenders Federal Offenders Serving Sentence in
Awaiting Trial/Removal (USMS) Facility (BOP)
(1) adult male (6) adult female
(2) adult female (7) YCA male
(3) JJA male (8) YCA female
(4) JJA (9) JJA male
(5) adult male (10) JJA female
Total Total
7. Is facility currently overcrowded? ( ) Yes ( ) No
If yes, place an "X" beside offender type(s) above which are
overcrowded.
Refer to Chapter 4, Community Corrections Manual for monitoring
definition, elements, responsibilities, schedule, method, and
confidentiality of reports.
The purpose of the checklist is to remind the CCM of areas to
review in relation to the Statement of Work and to record the
findings. It will become part of the contract file kept by the
CCM.
Those items marked with an asterisk (*) must be addressed in the
"Comments" at the end of each section. The CCM will also address
any other area that he/she believes pertinent in the "Comments"
section at the end of this report.
PS 7300.09
1/12/98
Attachment 4-9, Page 2
Some of the items on this checklist will not apply in all
situations. There is a column marked "N/A" - Not Applicable for
such situations.
ADMINISTRATION AND OPERATIONS
YES NO N/A
1. Is the unit under the direction of a full time,
professional administrator?.....................( ) ( ) ( )
2. Is there a sufficient number of operating staff
members to provide continuous 24-hour per day *
supervision?....................................( ) ( ) ( )
3. Does the facility have a policy manual which
governs institutional operations?...............( ) ( ) ( )
4. Does each staff member receive 40 hours of
correctional training annually?.................( ) ( ) ( )
5. Is the staff guided by appropriate written
orders (such as post orders, emergency plans,
formal policies on key and tool control,
etc.)?..........................................( ) ( ) ( )
6. Do the policies for prisoner accountability insure
that the security of the unit is *
maintained?.....................................( ) ( ) ( )
7. Are unusual incidents, disciplinary infraction, *
and disturbance adequately recorded?............( ) ( ) ( )
8. Does the unit have a due process model, per
Wolff v. McDonnell, policy for disciplinary *
actions?........................................( ) ( ) ( )
9. Are rules and regulations provided in writing *
for all prisoners?..............................( ) ( ) ( )
*
10. Is corporal punishment forbidden at this unit?..( ) ( ) ( )
11. Do prisoners have adequate access to legal *
materials?......................................( ) ( ) ( )
12. Are minimal visitation rights afforded to all *
prisoners?......................................( ) ( ) ( )
13. Is the correspondence policy in accord with the *
statement of work?..............................( ) ( ) ( )
PS 7300.09
1/12/98
Attachment 4-9, Page 3
*
14. Are prisoners segregated by age and sex?........( ) ( ) ( )
15. Is discrimination prohibited on the basis of *
race, religion and national origin?.............( ) ( ) ( )
16. Are adequate safety measures in effect with *
regard to fire, natural disaster, etc.?.........( ) ( ) ( )
17. Does the unit satisfactorily safeguard against *
the introduction and production of contraband?..( ) ( ) ( )
18. Does the unit maintain an acceptable level of *
sanitation?.....................................( ) ( ) ( )
19. Are prisoner funds and property adequately *
accounted for?..................................( ) ( ) ( )
20. Are vouchers accurate and in the proper *
format?.........................................( ) ( ) ( )
21. Are communication between the unit and concerned
Federal agencies satisfactory?..................( ) ( ) ( )
22. Is the unit responsive and cooperative in its
dealings with Federal agencies?.................( ) ( ) ( )
23. If there are offenders committed under juvenile
statutes (pre or post-commitment), and this is
not strictly a juvenile facility, are they in *
entirely separate quarters?.....................( ) ( ) ( )
COMMENTS:
BASIC SERVICES AND PROGRAMS
YES NO N/A
1. Are prisoners provided with adequate clothing *
and bedding?....................................( ) ( ) ( )
2. Are prisoners provided with the opportunity to *
shave and bath regularly?.......................( ) ( ) ( )
3. Is a program of exercise and recreation, indoor *
and fresh air, available?.......................( ) ( ) ( )
*
PS 7300.09
1/12/98
Attachment 4-9, Page 4
4. Are religious services/counseling available?...( ) ( ) ( )
5. Does the facility provide three meals per day
the Food Service standards exceed minimum *
nutritional standards of U.S.D.A.?..............( ) ( ) ( )
6. Are menus checked by a dietitian?...............( ) ( ) ( )
7. Is food served at the proper temperature, with
attention given to variety and appearance.......( ) ( ) ( )
8. Is there a formal classification program?.......( ) ( ) ( )
9. Is basic medical service provided in *
accordance with the statement of work?..........( ) ( ) ( )
10. Does unit have regular medical staff
on duty at the facility on a regular
basis (may be para-medic)?......................( ) ( ) ( )
11. Are counseling and crisis intervention service
provided?.......................................( ) ( ) ( )
12. Are educational or vocational programs
available?......................................( ) ( ) ( )
13. Is Work/Study Release available for Federal
offenders?......................................( ) ( ) ( )
COMMENTS:
NARRATIVE
1. USE OF THIS UNIT BY FEDERAL GOVERNMENT:
MAJOR USE: ( ) MODERATE USE: ( ) MINOR USE: ( )
2. GOVERNMENT NEED TO CONTRACT WITH THIS UNIT:
NECESSARY: ( ) This is a single source supplier of
needed service in the area; or, other suppliers in the area are
unavailable to the Government or are clearly inferior.
PS 7300.09
1/12/98
Attachment 4-9, Page 5
DESIRABLE: ( ) This service is superior or more
conveniently located than other options which are available.
OPTIONAL: ( ) This unit was selected over, or in addition
to, other available units comparable in quality and convenience.
Loss of this unit would not create a major problem
for the Government.
3. OVERALL RATING ADJECTIVE:
SATISFACTORY: ( ) There is no problem with this
facility it is operating quite satisfactorily. Any improvement
needed would be minor.
UNSATISFACTORY: ( ) There is a problem with this
facility it is not operating satisfactorily. Improvement is
definitely needed, as noted elsewhere in this report.
*UNACCEPTABLE: ( ) There is a major problem with this
facility. The Government contracts with it only to meet the
needs of the U.S. Courts, while expending major efforts to find
alternatives; or the Government plans to give cancellation notice
if situation continues over a specified length of time.
4. IF RATING IS "UNACCEPTABLE," COMMENT ON REASONS, OR REFER TO
RELEVANT CHECKLIST ITEMS COMMENTED ON ELSEWHERE:
5. IF RATING IS "UNACCEPTABLE," IS CANCELLATION BEING
CONSIDERED? IF NOT, COMMENT ON THE SITUATION AND ANY CONSTRAINTS
WHICH PREVENT CANCELLATION:
6. DOES THIS UNIT RECEIVE MANAGEMENT ASSISTANCE FUNDS FOR
IMPROVEMENT OF CONDITIONS FOR/SERVICES TO FEDERAL OFFENDERS?
7. IS THE UNIT IN NEED OF TECHNICAL ASSISTANCE? IF "YES"
COMMENT ON WHAT ASSISTANCE IS BEING PROVIDED, COULD BE PROVIDED,
OR THE CONSTRAINTS UPON PROVIDING ASSISTANCE:
PS 7300.09
1/12/98
Attachment 4-9, Page 6
8. NAME AND POSITION OF STAFF NAME AND REGISTER NO. OF
INTERVIEWED DURING VISIT: PRISONERS INTERVIEWED
DURING VISIT:
9. ADDITIONAL COMMENTS:
Community Corrections Manager /s/ Date
10. Date of next scheduled inspection:
PS 7300.09
1/12/98
Attachment 4-10, Page 1
CONTRACT LONG-TERM ADULT
& JUVENILE MONITORING INSTRUMENT
1. DATE OF INSPECTION: SCHEDULED: ( ) UNSCHEDULED: ( )
2. CCM (name, location, code):
3. FACILITY (name, location, code):
4. CHIEF EXECUTIVE OFFICER (name):
5. FACILITY OPERATING CAPACITY: POPULATION ON DAY OF
INSPECTION: ADP Last Six Months:
6. FEDERAL POPULATION ON DAY OF INSPECTION: FEDERAL
OFFENDERS FEDERAL OFFENDERS
AWAITING TRAIL/REMOVAL (USMS) SERVING SENTENCE IN
FACILITY (BOP)
(1) adult male (6) adult female
(2) adult female (7) YCA male
(3) JJA male (8) YCA female
(4) JJA female (9) JJA male
(5) adult male (10) JJA female
7. IS FACILITY CURRENTLY CROWDED? YES ( ) NO ( )
IF "YES" PLACE A (X) BESIDE OFFENDER TYPE(S) ABOVE
WHICH ARE OVERCROWDED.
Refer to Chapter 4, Community Corrections Manual for Monitoring
Definition, Elements, Responsibilities, Schedule, Method, and
Confidentiality of Reports.
The purpose of the checklist is to remind the CCM of areas to
review in relation to the Statement of Work and to record the
findings. It will become part of the contract file kept by the
CCM.
Those items marked with an asterisk (*) must be addressed in the
PS 7300.09
1/12/98
Attachment 4-10, Page 1
"Comments"at the end of each Section. The CCM will also address
any other area that he/she believes pertinent in the "Comments"
section at the end of this report.
PS 7300.09
1/12/98
Attachment 4-10, Page 2
Some of the items on this checklist will not apply in all
situations. There is a column marked "NA" - Not Applicable for
such situations.
ADMINISTRATION
YES NO N/A
1. Is this facility subject to inspection by
state, county, or local regulating agency........( ) ( ) ( )
2. Is the unit under the direction of a full
time, professional administrator?................( ) ( ) ( )
3. Does the facility have a policy manual which
governs institutional operations?................( ) ( ) ( )
4. Does each staff member receive 40 hours of
correctional training annually?..................( ) ( ) ( )
5. Is there an Affirmative Action Program in
effect?..........................................( ) ( ) ( )
6. If this is a juvenile facility, are there *
any adults confined here also?...................( ) ( ) ( )
7. Does staff photograph or fingerprint juveniles
(committed under Juvenile Justice Act) without *
consent of Judge?................................( ) ( ) ( )
*
8. Are prisoners segregated by age and sex?.........( ) ( ) ( )
9. Is discrimination prohibited on the basis of race *
religion, and national origin?...................( ) ( ) ( )
10. Are prisoners provided with adequate clothing *
and bedding?.....................................( ) ( ) ( )
11. Are prisoners provided with opportunity to shave *
and bathe regularly?.............................( ) ( ) ( )
12. Is a program of exercise and recreation, indoor *
fresh air, available?............................( ) ( ) ( )
*
13. Are religious services/counseling available?.....( ) ( ) ( )
14. Are minimal visitation rights afforded to *
all prisoners?...................................( ) ( ) ( )
PS 7300.09
1/12/98
Attachment 4-10, Page 3
15. Is the correspondence policy in accord with the *
Statement of Work?...............................( ) ( ) ( )
16. Do prisoners have adequate access to legal *
materials?.......................................( ) ( ) ( )
17. Are communications between the unit and concerned *
Federal agencies satisfactory?...................( ) ( ) ( )
YES NO N/A
18. Is the unit responsive and cooperative in its
dealings with Federal agencies?..................( ) ( ) ( )
COMMENTS:
SANITATION
YES NO N/A
1. Is the sanitation-hygiene of facility
monitored by a state, country, or local
regulatory agency?.............................( ) ( ) ( )
2. Does the facility maintain an acceptable level *
of sanitation?.................................( ) ( ) ( )
COMMENTS:
DISCIPLINE
YES NO N/A
1. Does the facility have a due process model,
per Wolff v. McDonnell, policy for *
disciplinary action?............................( ) ( ) ( )
2. Are rules and regulations provided in written *
for all prisoners?..............................( ) ( ) ( )
3. Is corporal punishment forbidden at this *
facility?.......................................( ) ( ) ( )
*
4. Are there any inmate trustees?..................( ) ( ) ( )
PS 7300.09
1/12/98
Attachment 4-10, Page 4
5. Are basic living levels of decency and humane *
treatment maintained in segregation unit?.......( ) ( ) ( )
6. Is the same menu and frequency of meals
provided to those inmates placed in segregation *
as provided to general population?..............( ) ( ) ( )
COMMENTS:
MEDICAL
YES NO N/A
1. Is basic medical service provided in accordance *
with the statement of work?....................( ) ( ) ( )
2. Does facility have regular medical staff on
duty at the facility on a regular basis?.......( ) ( ) ( )
3. Are there adequate procedures for *
handling medical emergencies?..................( ) ( ) ( )
4. Is there a hospital in the institution?........( ) ( ) ( )
5. Is hospital or clinic equipment in good
repair?........................................( ) ( ) ( )
6. If institution has no hospital, have other
arrangements been made for medical care
and is it adequate?............................( ) ( ) ( )
7. Are narcotic and non-narcotic drugs controlled *
properly?......................................( ) ( ) ( )
8. Is inmate examined by medical personnel at
admission?.....................................( ) ( ) ( )
9. Are there procedures for proper maintenance
and control of medical record?.................( ) ( ) ( )
PS 7300.09
1/12/98
Attachment 4-10, Page 5
10. Does staff know proper procedure for billing for medical
care not included in per diem
cost?..........................................( ) ( ) ( )
COMMENTS:
FISCAL MANAGEMENT
YES NO N/A
1. Does the facility prepare an annual written budget of
anticipated revenues and
expenditure?...................................( ) ( ) ( )
2. Does the facility's fiscal process include an
annual audit of the agency?....................( ) ( ) ( )
3. Are prisoner funds and property adequately
accounted for?.................................( ) ( ) ( )
4. Are vouchers accurate and in the proper
format?........................................( ) ( ) ( )
COMMENTS:
CASE MANAGEMENT AND PROGRAMS
YES NO N/A
Programs
1. Are counseling and crisis intervention
services provided?.............................( ) ( ) ( )
2. Are vocational programs available?.............( ) ( ) ( )
3. Does facility offer an adult Basic Education
Program?.......................................( ) ( ) ( )
4. Does facility offer a GED program?.............( ) ( ) ( )
5. Is staff following the proper procedures for:
a. Furlough?............................( ) ( ) ( )
PS 7300.09
1/12/98
Attachment 4-10, Page 6
b. Work Release?........................( ) ( ) ( )
c. Study Release?.......................( ) ( ) ( )
6. Does staff have an understanding of all aspects
of placement in CTC's?.........................( ) ( ) ( )
Classification/Progress
*
1. Is there a formal classification program?......( ) ( ) ( )
2. Is inmate progress reviewed at least once *
every 6 months?................................( ) ( ) ( )
3. Is staff aware of what type of information
should be in the following reports:
*
a. Classification Report?...............( ) ( ) ( )
*
b. Progress Report?.....................( ) ( ) ( )
4. Does the facility grant Meritorious Good Time
and is staff familiar with BOP policy *
pertaining to Meritorious Good Time?...........( ) ( ) ( )
Release YES NO N/A
1. Does staff understand procedures required in
Statement of Work relating to inmates who have *
a committed fine?..............................( ) ( ) ( )
2. Does staff understand procedures for resolving *
detainer?......................................( ) ( ) ( )
3. Upon release, does institution provide adequate
clothing and transportation expenses to reach *
destinations?..................................( ) ( ) ( )
4. Are there procedures for determining the
appropriateness of release gratuity and *
the amount?....................................( ) ( ) ( )
5. Are the appropriate release/discharge forms and *
reports completed and distributed properly?....( ) ( ) ( )
PS 7300.09
1/12/98
Attachment 4-10, Page 7
1. Does the staff understand the role of the U.S.
Probation Officer and how to determine who is
the appropriate USPO?..........................( )
*
( ) ( )
2.
Does the staff understand how to obtain
presentence reports and when to send report
to the USPO?...................................( )
( ) ( )
3.
Does staff understand procedures relating to
the release plan and the USPO?.................( )
*
( ) ( )
4.
Is staff aware of restrictions on release
destinations of inmates going out on supervision
(committing District of residence) and how to
resolve this?..................................( )
( ) ( )
5.
Does staff understand Parole Commission actions
and procedures, i.e., continuances, institutional
review hearing, continued to expirations,
*
etc.?..........................................( ) ( ) ( )
6.
Does staff have all the required Parole Forms?.( )
( ) ( )
Sen
ence/Record Information YES
NO N/A
1.
Do staff have a complete understanding of items on
the BP-5 "Sentence Computation
Sheet?.........................................( )
( ) ( )
Probation and Parole
t
a. Sentence and length?......................( ) ( ) ( ) b.
SGT?......................................( ) ( ) ( ) c. MR
date?..................................( ) ( ) ( ) d. Parole
Eligibility date?..................( ) ( ) ( )
2. If allowed by institution, does Federal inmate
have a copy of his BP-5?.......................( ) ( ) ( )
3. Does Inmate File contain the following:
a. J&C (If not, is it in a separate, secure
place)?...................................( ) ( ) ( )
b. BP-5?.....................................( ) ( ) ( )
PS 7300.09
1/12/98
Attachment 4-10, Page 8
c. PSI?......................................( ) ( ) ( )
d. Classification Summary?...................( ) ( ) ( ) e.
Progress Reports?.........................( ) ( ) ( ) f. Parole
Application (if applicable)?.......( ) ( ) ( ) g. Disciplinary
Records (if applicable)?.....( ) ( ) ( )
COMMENTS:
SECURITY, CONTROL, & SAFETY
YES NO N/A
1. Is the staff guided by appropriate written
orders (such as post orders, emergency plans,
formal policies on key and tool control,
etc.)?.........................................( ) ( ) ( )
2. Is there a sufficient number of operating staff
members to provide continuous 24-hour per day *
supervision?...................................( ) ( ) ( )
3. Do the policies for prisoners accountability
insure that the security of the unit is *
maintained?....................................( ) ( ) ( )
4. Does the unit satisfactorily safeguard against *
the introduction and production of contraband?.( ) ( ) ( )
5. Are unusual incidents, disciplinary infraction, *
and disturbances adequately recorded?..........( ) ( ) ( )
6. Are adequate safety measures in effect with *
regard to fire, natural disaster, etc.?........( ) ( ) ( )
COMMENTS:
PS 7300.09
1/12/98
Attachment 4-10, Page 9
UNACCEPTABLE: ( ) - There is a major problem with this
INTERVIEWED DURING VISIT: PRISONERS INTERVIEWED
DURING VISIT:
8. ADDITIONAL COMMENTS:
NARRATIVE
1. USE OF THIS UNIT BY FEDERAL GOVERNMENT:
MAJOR USE: ( ) MODERATE USE: ( ) MINOR USE: ( )
2. GOVERNMENT NEED TO CONTRACT WITH THIS UNIT:
NECESSARY: ( ) - This is a single source supplier of
needed service in the area; or, other suppliers in the area are
unavailable to the Government or are clearly inferior.
DESIRABLE: ( ) - This service is superior or more
conveniently located than other options which are available.
OPTIONAL: ( ) - This unit was selected over, or in
addition to, other available units comparable in quality and
convenience. Loss of this unit would not create a major problem
for the Government.
3. OVERALL RATING ADJECTIVE:
SATISFACTORY: ( ) - There is no problem with this
facility--it is operating quite satisfactorily. Any improvement
needed would be minor.
UNSATISFACTORY: ( ) - There is a problem with this facility--
it is not operating satisfactorily. Improvement is
definitely needed, as noted elsewhere in this report.
PS 7300.09
1/12/98
Attachment 4-10, Page 10
UNACCEPTABLE: ( ) - There is a major problem with this
facility. The Government contracts with it only to meet the
needs of the U.S. Courts, while expending major efforts to find
alternatives; or the Government plans to give cancellation notice
if situation continues over a specified length of time.
IF RATING IS "UNACCEPTABLE," COMMENT ON REASONS, OR REFER TO
RELEVANT CHECKLIST ITEMS COMMENTED ON ELSEWHERE:
IF RATING IS "UNACCEPTABLE," IS CANCELLATION BEING
CONSIDERED?
IF NOT, COMMENT ON THE SITUATION AND ANY CONSTRAINTS WHICH
PREVENT CANCELLATION:
*"Unacceptable" is not meant to imply that any Constitutional
standards have not been met. It is simply a way of indicating
the Bureau of Prisons has found major shortcomings in the
facility or in its operations.
CCM Signature Date
4. Management Center Administrator's Comments:
MCA Signature Date
Date of next scheduled inspection:
PS 7300.09
1/12/98
Attachment 4-11, Page 1
CONTRACT CONFINEMENT INTERIM MONITORING
INSTRUMENT
1. Date of Review:
2. Date of Last Audit:
3. Community Corrections Manager (Name, Location, Code):
4. Facility (Name, Location, Code):
5. Facility Director:
6. Facility Operating Capacity:
7. Total Facility Population:
8. Total BOP Population: , BOP Male: , BOP Female:
9. (Check One) This is a Major or Minor use Facility.
10. Average Monthly Inmate-days Since Last Monitoring:
11. Is this Facility Co-Correctional? Yes: No:
If so, are Sleeping Areas Separated? Yes: No: Is
There Supervision and Separation by Sex to Provide Privacy
and Protection? Yes: No:
12. Comment on Areas Found Deficient During Last Audit (Attach
Extra Sheet, if Appropriate):
13. Comment on Life Safety Issues (Obtain Copy of Last Fire
Marshal Inspection Report, If Appropriate):
14. Comment on General Sanitation (Including Food Service
Program and Obtain Latest Copy of Food Service Establishment
Inspection Report, If Appropriate):
PS 7300.09
1/12/98
Attachment 4-11, Page 2
15. Comment on Inmate Accountability and Facility Security:
16. Number of Escapes Since Last Audit:
17. Does this Facility have a due Process Model, per Wolff vs.
McDonnell, Policy for Disciplinary Action (Explain):
18. Comment on Whether staff Understand Release Procedures (When
to Contact USMS, INS, Gratuities, Obtaining Bus Tickets, etc.)
19. Other Areas Considered Important to This Contract:
20. Date by Which Contractor is to Respond to Notice of
Deficiencies:
Signature of Community Corrections Manager Date
21. Date of Next Audit:
Signature of Management Center Administrator Date
PS 7300.09
1/12/98
Attachment 4-12, Page 1
ALLEGATIONS OF CONTRACT STAFF MISCONDUCT/INTEGRITY ISSUES
IN PRIVATELY OPERATED BUREAU OF PRISONS
CONTRACT FACILITIES
The following procedures have been developed to more efficiently
investigate allegations of contract staff misconduct/integrity
issues in privately operated BOP contracts, while still
preserving the best interest of the government.
1. ACTION: Contract Oversight Specialists (COS) and Community
Corrections Managers (CCM) will review allegations of contract
staff misconduct in connection with the Standards of Conduct in
the contract. These matters will be brought to the attention of
the contractor and handled as any other violation of the
contract's terms and conditions. However, the Office of Internal
Affairs (OIA) and the Office of Inspector General (OIG) must be
informed of all misconduct allegations. Timely reporting of all
incidents and allegations is of paramount importance.
2. PROCEDURES:
A. Any information alleging staff misconduct violations of
state, local, or Federal law must be reported to the OIG/OIA. In
addition to the following, please refer to Program Statement
1210.11 Internal Affairs, Office of, for guidance.
The CCM will notify OIA, without delay, of the allegation
followed by the SENTRY Electronic Mail System (EMS) notification
(see attached form), with copies of the EMS and predicating
documentation (memorandums, etc.) mailed or sent via fax within
24 hours to OIA. A copy of the EMS notification will be sent to
the staff member in the Community Corrections Branch -
Contracting Section (CCB), Community Corrections and Detention
Division, responsible for tracking community correction center
(CCC) integrity issues.
Frequently, staff become aware of unconfirmed information
alleging violations of the Standards of Conduct from unreliable
sources. When this occurs, the COS or designated staff member
will begin to gather preliminary data to assist in a
determination whether a violation of the Standards of Conduct (or
other contract requirements) may have occurred. However, it is
important to note that "subjects" of the allegation(s) should not
be approached without OIA approval. If the allegation is clearly
determined to be insignificant and/or without merit, a memorandum
or GroupWise e-mail documenting the results of the preliminary
review shall be sent to OIA.
PS 7300.09
1/12/98
Attachment 4-12, Page 2
OIA will refer all misconduct allegations to OIG for screening and
classification (OIA will refer criminal matters involving
inmate physical abuse and sexual contact [which would constitute
the prosecutable offense of deprivation of civil rights under 18
U.S.C. 242] with an inmate to the Department of Justice, Civil
Rights Division (CRD), for prosecutorial consideration). OIG may
decide to investigate a potential criminal violation or serious
administrative infraction rather than deferring the matter to the
BOP. If this should occur, the respective CCM will be notified and
unless directed otherwise, no further local investigative action
should be pursued.
Upon deferral, OIA will inform the CCM either not to proceed,
pending further review, or to proceed with a local investigation.
All blocks on the attached EMS form shall be completed unless
obtaining the information would jeopardize an investigation. In
this case, the form shall be appropriately noted.
If instructed to proceed with a local investigation, the COS or
designated staff member will begin to gather information or evidence
(newspaper articles, letters, police reports, telephonic
verifications with state and/or local officials, interviews, etc.)
that assist in a determination whether a violation of the Standards
of Conduct (or other contract requirements) has occurred.
The CCM in consultation with OIA shall be responsible for
directing, tracking, and ensuring all activities throughout the
local investigation, including a final investigative report, are
completed. Updates concerning an open investigation will be
provided to the OIA, Community Corrections Regional Administrator
(CCRA), Management Center Administrator (MCA), and CCB as new
information is available, but no less than monthly. OIA is
available for consultation at any point during the investigative
process.
B. The CCM shall utilize all available resources to
properly investigate the allegations. OIA, Regional Counsel and
the Central Office may be utilized as resources. CCMs may assign
the investigation of CCC staff to the COS or Case Manager.
A final investigation report shall be completed by the MCA and shall
include an explanation of the complaint, a summary of the
investigative steps utilized, and the factual conclusions reached
by the investigator. This final report, along with copies of
relevant affidavits, police reports, etc., shall be mailed to OIA
with all documents compiled during the investigation (i.e.,
affidavits, working papers) shall be maintained and preserved in
the CCM contract file.
PS 7300.09
1/12/98
Attachment 4-12, Page 3
C. If the allegation is unfounded, the CCM contract file
will be documented by memorandum to OIA requesting CLOSURE and
indicating the information/evidence gathered from the
investigation does not support further examination. A copy of
the memorandum, along with a copy of the actual investigative
file, shall be sent to OIA for review. (A copy of the memorandum
ONLY shall be sent to CCB for the purpose of updating the
status.) OIA will notify the CCM when CLOSURE is made. MCAs
will review these issues during operational reviews.
D. At the conclusion of the investigation where charges
are sustained, the MCA will provide written direction to the CCM
to pursue certain corrective contract compliance action through
established (monitoring) procedures.
E. A copy of the CCM's letter to the contractor directing
contract compliance action shall be sent to OIA.
3. RESEARCH
A. Information concerning all integrity allegations will
be entered into the OIA computer database.
! the number of integrity/misconduct allegations
(sustained or unsubstantiated);
! the types of integrity/misconduct allegations
(fraternizing, gambling, sex related, etc.)
! expenditures of resources (travel costs, interviews,
inspections, other financial expenditures, etc.);
! annual trends within each CCM office area; and,
! suggestions on how to prevent the circumstances leading
to the integrity issue.
Through these guidelines, it is anticipated the BOP can more
effectively and efficiently utilize existing resources to
satisfactorily resolve contract staff misconduct.
PS 7300.09
1/12/98
Attachment 4-12, Page 4
REFERRAL OF STAFF MISCONDUCT INCIDENT IN CONTRACT FACILITY
TYPE OF REPORT (CHECK ONE)
INITIAL FOLLOW-UP
DATE OF REFERRAL: TIME OF REFERRAL:
CCM OFFICE CODE: REPORTED BY(NAME AND TITLE:):
CONTRACT FACILITY (CITY / STATE: ASSIGNMENT CODE:
CONTRACT NUMBER:
DATE OF INCIDENT(S): TIME OF INCIDENT(S)
PLACE OF INCIDENT(S):
ALLEGATION:
SOURCE OF ALLEGATIONS:
SUBJECT FULL NAME: TITLE / POSITION:
DATE OF BIRTH: SEX:
SOCIAL SECURITY NUMBER: RACE:
*If multiple subjects, use additional pages
VICTIM(S), FULL NAME AND REGISTER NUMBERS:
SUMMARY OF INCIDENT (WHO, WHAT, WHEN, WHERE, WHY):
---------------------------------------------------------------
STATUS (OPEN / CLOSED) (DESCRIBE ANY ACTION TAKEN LOCALLY PRIOR
TO OIA REFERRAL. ARE THERE ANY OTHER LOCAL, STATE, OR FEDERAL
AUTHORITIES INVOLVED?)
PS 7300.09
1/12/98
Attachment 4-13, Page 1
CONTRACTOR EVALUATION FORM (CEF)
Information for Request for Proposal
(C omplete if submitted for p ro posal only)
Evaluation Period: [] Interim [] Final Period
(C omplete if submitted for contract evaluation only) DATE
____________________________________________________________________________________________
1. O fferor/Contractor N ame 2. RFP /Contract N umber _________________
Address and T elephone #:
3. C ontract V alue (B ase plus options):
___________________________________
4. Contract Award D ate: __________________
Contract Completion D ate: ______________
____________________________________________________________________________________________
5. T ype of Contract: (Circle all that apply) -- [FFP] [FPI] [FP-EPA]
[FPAF] [C PFF-C OM PLETION] [C PFF-TERM][C PIF] [C PAF] [ID/IQ]
[B O A] [REQ U IREM EN T S] [LAB O R-H O U R] [T &M] [SBSA 8(a)] [SBIR]
[SEALED BID] [NEGOT IATED] [COM PETITIVE] [NON-COM PETITIVE]
____________________________________________________________________________________________
6. D ESC RIPT IO N O F CO N T RAC T RE Q U IRE M EN T S:
7. R ating: Summ arize offeror/contractor performance and circle in the column on the right the numb er which
co rrespo nds to the performance rating for each catego ry. See the attached R ating G uidelines to determine rating
PS 7300.09
1/12/98
Attachment 4-13, Page 2
scale.
___________________________________________________________________________________________
CO N T RAC T CO M PLIAN CE | CO M M EN T S: 0
|
- Accuracy of Reports | 1
- M eet Staffing C riteria |
- Foo d Service P rogram | 2
- Life Safety Standards |
- Substance Abuse Program | 3
- Accountability |
- T echnical E xcellence | 4
|
| ++
_________________________________________________________________________________________
|
CU ST O M ER SAT ISFACT IO N | CO M M EN T S: 0
|
- Reliab le | 1
- Subsistence Collection |
- Facility D esign/Location | 2
- Facility maintenance & R epair |
- Responsiveness to T echnical D irection | 3
|
| 4
|
| ++
____________________________________________________________________________________________
|
B U SIN ESS RE LAT IO N S | CO M M EN T S: 0
|
- E ffective M anagem ent | 1
- B usiness-Like C orrespo ndence |
- C urrent, Accurate and C omplete B illings | 2
- Resp onsive to C ontract Requirements |
- Prompt Notification of Problems | 3
- R easonable and C ooperative |
- Flexible | 4
- P ro-active |
- Effective Contractor-recommended Solutions | ++
- U se of Small and Sm all D isadvantaged |
B usiness Subcontracts |
____________________________________________________________________________________________
Mean Score (Add all ratings and divide by number of areas rated) __________
__________________________________________________________________
If ap plicable, did the co ntractor subco ntract for any of the ab ove services?
If so, did the contractor prop erly mo nitor subcontractor’s performance?
PS 7300.09
1/12/98
Attachment 4-13, Page 3
8. RAT ER:
N ame:_____________________________________Signature:__________________________________________ D
ate: ______________________________________Period Rated:_______________________________________
Position/T itle:________________________________T elephone #:_______________________________________
Fax #:____________________________________________
If CE F is comp leted telephonically, furnish all information above for interviewees except signature and comp leted
information below for individual conducting interview.
N ame:______________________________________
D ate: ______________________________________ Period Rated:______________________________________
Position/T itle:________________________________ T elephone#:_______________________________________
Fax #:___________________________________________
____________________________________________________________________________________________
9. W ould you select this firm again? P lease pro vide a brief explanation:
____________________________________________________________________________________________
10. (A pp licable only for contract evaluations) C ontractor’s Review:
W ere comments, rebuttals or additional information provided? Attach if submitted. [YE S]
[NO]
____________________________________________________________________________________________
11. (A pp licable only for contract evaluations) Information on Co ntractor’s Authorized Representative
subm itting comments, rebuttals or add itional information:
N ame:______________________________________Signature:_________________________________________
D ate: ______________________________________ Period Rated:_______________________________________
P osition/T itle:________________________________ T elep hone
#:_______________________________________
Fax #:___________________________________________
____________________________________________________________________________________________
12. (A pp licable only for contract evaluations) A gency Review:
W ere contractor com ments reviewed at a level above the C ontracting O fficer? [Y ES]
[N O] Attach comments. N umber of pages: _______
N ame:______________________________________Signature:_________________________________________
D ate:_______________________________________Period Rated:_______________________________________
Position:_____________________________________T elephone #:______________________________________
Fax #:___________________________________________
____________________________________________________________________________________________
| |
13. C ontract C ompliance | C ustomer Satisfaction | B usiness R elations
PS 7300.09
1/12/98
Attachment 4-13, Page 4
R evised Score: | R evised Score: | R evised Score:
____________________________________________________________________________________________
14. Revised score (add all scores and divide by number of areas rated) ________________
15. (A pplicable o nly for co ntract evaluations)
C ontracting O fficer E ndorsement (A pplicable only if co ntractor d oes not rebut rating and request review)
N ame:_______________________________________Signature:________________________________________
D ate:_______________________________________ Period Rated:______________________________________
Position:_____________________________________T elephone #:______________________________________
Fax #:___________________________________________
16. Ratings: Summ arize offeror/contractor performance and circle in the column on the right the numb er which
co rrespo nds to the performance rating for each catego ry. See the attached R ating G uidelines to determine rating
scale.
____________________________________________________________________________________________
CO N T R A C T C O M P LIA N C E C O M M E N T S: 0
-A ccuracy of R ep orts 1
-M eets Staffing C riteria
-Food Service Program 2
-Life Safety Standards
-Substance Abuse Program 3
-Accountability
-T echnical E xcellence 4
++
____________________________________________________________________________________________
CU ST O M E R CO M M E N T S: 0
SA TISFA C TION
1
-Reliab le
-Sub sistence C ollection 2
-Facility D esign/Location
-Facility M aintenance and R ep air 3
-R espo nsiveness to T echnical D irection 4
++
____________________________________________________________________________________________
0
PS 7300.09
1/12/98
Attachment 4-13, Page 5
B U SIN ESS RE LAT IO N S CO M M EN T S: 1
-E ffective M anagem ent
-B usiness-like C orrespondence 2
-C urrent, Accurate and C omplete B illings
-Resp onsive to C ontract Requirements
-Prompt notification of Problems 3
-R easonable and C ooperative
-Flexible
-P ro-active 4
-E ffective C ontractor-recomm ended
So lutions
-U se of Small and Small D isadvantaged
++
B usiness Sub co ntracts
____________________________________________________________________________________________
M EA N SCO RE (AD D ALL RAT IN G S AN D D IV ID E B Y N U M B ER O F ARE AS RAT ED ) __________
____________________________________________________________________________________________ IF
APP LICAB LE, D ID T H E C O N T RAC T O R SU B CO N T RAC T FO R AN Y O F T H E AB O V E SE RV ICE S?
IF SO, DID TH E CONT RACTOR PROPERLY M ONITO R SUBCON TRACTO R’S PERFORM ANCE?
RATING GU IDELINES
Summarize contractor p erform ance in each of the rating areas. Assign each area a rating of 0 (unsatisfactory), 1 (po or), 2 (fair),
3 (good), 4 (excellent), or ++ (p lus). U se the following instructions as guidance in m aking these evaluations. E nsure that this
assessment is co nsistent with any other Agency assessments mad e (i.e., for payment of fee purpo ses).
Compact Compliance Customer Satisfaction Business Relations
-A ccuracy of repo rts-R eliab le-E ffective managem ent
-M eet staffing criteria-Subsistence collection-B usinesslike correspo ndence
-Food service pro gram-Facility design/location-C urrent, accurate and complete
-Life safety stand ards-Facility maintenance and repair billing
-Subsistence abuse program-R espo nsiveness to technical-R espo nsiveness to contract
-Accountability direction requirements
-T echnical excellence-Prompt notification of problems
-R easonable/co operative
-Flexible
-P ro-active
-E ffective contractor recomm ended solutions
-E ffective small/small disadvantaged business subcontracting program
PS 7300.09
1/12/98
Attachment 4-13, Page 6
0. U nsatisfactory N onconformances D eficiencies are compromising Resp onse to inq uiries,
are com promising the the achievement of contract technical/service/adm inistrative issues
achievement of requirements, despite use of is not effective and respo nsive.
co ntract requirements, agency reso urces.
desp ite use of agency
reso urces.
1. P oor N onconformances D eficiencies require m ajor Resp onse to inq uiries,
req uire majo r Agency agency resources to ensure technical/service/ad ministrative
resources to ensure achievem ent of co ntract issues is marginally effective
achievement of requirements. and resp onsive.
co ntract requirements.
2. Fair N onconformances D eficiencies require m ino r Resp onse to inq uiries,
req uire minor Agency agency resources to technical/service/ad ministrative
resources to ensure ensure achievem ent of issues is som ewhat effective
achievement of co ntract requirements. and resp onsive.
contract req uirem ents.
3. G ood N onconformances D eficiencies do no t impact Resp onse to inq uiries,
do not impact achievem ent of co ntract technical/service/ad ministrative
achievem ent of requirements. issues is usually effective and
contract requirements. respo nsive.
4. E xcellent T here are no quality T here are no deficiencies. Resp onse to inq uiries,
prob lem s. technical/service/ad ministrative
issues is effective and respo nsive.
++ PLUS T he contractor has demo nstrated an exceptional performance level in any of the above 4 categories that
justifies adding a po int to the score. It is exp ected that this rating will be used in those rare circumstances when co ntractor
perform ance clearly exceeds the perform ance levels described as “E xcellent.”
PS 7300.09
CN-2 5/19/99
Chapter 5, Page 1
CHAPTER 5. CASE MANAGEMENT
Case management is an integral part of community corrections.
Community corrections staff perform many functions for offenders
in contract facilities that would be performed by case/unit
managers in federal institutions. Therefore, CCMs must have a
working knowledge of case management practices and procedures.
5.1. DESIGNATIONS
Detailed instructions for completing the Inmate Load and Security
Designation form (BP-S337.051) are contained in the Security
Designation and Custody Classification Manual. In addition, the
CCM shall be guided by the procedures outlined below.
As the first Bureau employees to be involved with federal
inmates, CCMs must decide whether to designate a non-federal or
federal facility. It is important for the CCM to review initial
designation cases to determine whether they qualify for
community-based programs.
Ordinarily, offenders with court recommendations to serve their
sentences in a particular non-federal facility shall be placed
there. Generally, these cases are reviewed biennially. State
placement cases also require a biennial review.
After the designation is finalized, the CCM shall inform the U.S.
Marshals Service (USMS) who has responsibility for transporting
the inmate to the designated facility. When the case is a
voluntary surrender, the USMS is to notify the inmate where and
when to report. In these situations, local notification
procedures may be established with the USMS and United States
Probation Service (USPS).
The BP-S337 Remarks section should be used to comment on the
nature of the offense, violent or unusual behavior, mental health
or medical problems, escape history, threatening behavior toward
national leaders, and criminal sexual behavior. If an item is
scored in any portion of the form, a brief explanation should be
included in the Remarks section of the BP-S337. If significant
concerns are involved or there has been serious misconduct while
in pre-trial status, it may be necessary to submit a separate
memorandum via BOPNet GroupWise to the Designator briefly
outlining the circumstances. Inmates with physical or mental
health concerns shall be referred directly to the Central Office
Medical Designator using appropriate comments in the Remarks
section.
PS 7300.09
CN-2 5/19/99
Chapter 5, Page 2
If the USMS requests designation and it is determined the
sentence has already been completed (i.e., satisfied by jail
credit), a designation shall not be done. However, it is
necessary for community corrections staff to do a complete
sentence computation even if the J&C indicates "Time Served"; an
independent sentence computation will not suffice. Once the
computation is completed it must also be satisfied (e.g., the
date, time, and method of actual release must be entered).
In the Remarks section of the sentence computation, the CCM shall
indicate that a sentence computation was completed on a released
USMS prisoner and list what documents were used to do the
sentence computation. For example: released USMS prisoner (129,
PSI, J&C).
During the initial designation process, community corrections
staff must perform an independent sentence computation using the
SENTRY "Independent Sentence Computation" transaction for each
inmate serving a sentence of one year or less. Good judgment
shall be used to determine if this is needed for inmates serving
sentences over one year when it appears the inmate has less than
one year remaining. Performing independent sentence computations
on such cases will help ensure proper consideration of jail time
credit during initial designation, thereby reducing the potential
for late releases.
All available 129s, PSIs, and prior sentence computations are to
be reviewed. The CCM shall also complete an ARS history
transaction to determine whether an inmate spent any pre-trial
time in a Bureau institution.
After completing the independent sentence computation on cases
that meet the criteria and consulting with the LIE on jail credit
accuracy, the CCM shall place a note under the Remarks section of
the BP-S337 indicating the tentative release date (TRD) with
number of days jail time credit (JTC). For example: TRD w/292
JTC= 06-22-95. This will alert the Designator and staff at the
institution of the short release date. This information shall be
available to holdover facilities, the USMS, and other staff with
access to SENTRY.
When notifying the USMS of the designated institution, the CCM
should also highlight the short release date. The USMS may have
to hold locally and eventually release the inmate if the date is
too close for transfer to the designated facility. This decision
rests with the USMS.
If background information (pre or post sentence investigation)
has not been completed, the CCM shall conduct an NCIC/NLETS check
PS 7300.09
CN-2 5/19/99
Chapter 5, Page 3
and annotate in the BP-S337 Remarks section. The inmate must be
designated to at least a LOW security level institution.
Due to strict requirements for medical confidentiality, knowledge
regarding HIV-infected offenders shall be limited to staff with a
need to know. In order to maintain confidentiality, community
corrections staff shall communicate this information to the
medical designator in a separate memorandum via BOPNet.
5.1.1. Placement of Inmates with Mental Health Issues or
Histories of Suicidal Behavior
To reduce the possibility of inmate suicides in contract
detention facilities:
a. Each CCM or COS shall review their contract detention
facilities regarding mental health and suicide prevention
practices to determine their ability to deal with this
population. Ordinarily, jail-type facilities that have ACA
accreditation or state certification have acceptable suicide
prevention programs. However, the Bureau cannot rely entirely on
this information. CCMs and/or COSs must base their conclusions
upon sound correctional practice. In addition to accreditation
and certification, key factors to look for when conducting the
survey include:
e suicide and mental health training for staff,
e heightened supervision for high-risk inmates,
e availability of emergency resuscitative equipment,
e availability of mental health professionals at the
facility, and
e formal policies and procedures governing their
practices.
b. During the designation process, sensitivity must be
given to an inmate's prior mental health concerns or history of
suicidal behavior. If such a history exists, a Bureau
institution, or a contract facility capable of dealing with this
type of inmate, shall be designated.
c. It is critical that contract facilities contact CCM
staff whenever an inmate shows evidence of suicidal tendencies,
or demonstrates any unusual or dangerous behavior. The CCM shall
carefully review this information and consult with the MCA, the
CCRA, and Bureau mental health staff, such as the regional
psychology services administrator, to determine if the inmate
should remain at the facility or be transferred.
PS 7300.09
CN-2 5/19/99
Chapter 5, Page 4
5.1.2. Early Designation for Inmates in State Custody
When prisoners are within 30 days of release from state sentences
and a federal term of incarceration is to follow, community
corrections staff shall act upon requests for designations from
the USMS. Community corrections staff shall contact a state
employee for a verbal report on the inmate’s offense conduct and
institutional adjustment (to include incident report history) as
it applies to the designation process. They must also confirm
the scheduled release date before requesting designation. The
USMS must provide documentation verifying the sentence is
complete.
For procedures to follow for inmates with concurrent federal and
state sentences, refer to the Program Statement on Designation of
State Institution for Service of Federal Sentence.
5.1.3. Voluntary Surrenders
The courts allow some inmates to surrender voluntarily to
designated facilities. If the court does not establish a date,
the CCM shall contact the USMS to establish a surrender date. If
the USMS does not establish a date, the CCM may do so. When the
CCM becomes aware of a change in a date of voluntary surrender,
he or she shall notify the regional designator and the Inmate
Systems Manager (ISM) at the designated institution via BOPNet.
Contract facilities shall be notified of surrender date changes
by telephone or mail. Documentation of this notification must be
maintained until the voluntary surrender has occurred. This
documentation may be maintained by saving the BOPNet message in
an electronic file, by a comment in the designation log, or
another method the CCM deems appropriate. Self surrender dates
for ICC designations should be established as close to the class
start date as is practicable. For further information, refer to
the Program Statement on Unescorted Transfers and Voluntary
Surrenders and, in the case of voluntary surrender to an ICC, the
Intensive Confinement Center Program Statement.
5.1.4. Appeals
If a CCM becomes aware that an inmate has been released on an
appeal after an institution was designated for that inmate, the
CCM shall notify the regional designator and the ISM at the
designated federal institution by BOPNet. If a contract facility
is the inmate's designated location, the CCM shall notify staff
at that facility. Documentation of notification must be
maintained until the appeal process is completed. The
documentation may be noted in an electronic file or another CCM
approved method.
PS 7300.09
CN-2 5/19/99
Chapter 5, Page 5
5.1.5. Records and Documents
a. CCMs shall maintain a designation tracking system (see
Attachment 5-1, Designation Log) that provides sufficient
information to permit review of the designation process. These
records are to be maintained until the next Program or
Operational Review. If cases are not processed in a timely
manner as noted in the Security Designation and Custody
Classification Manual, the CCM shall clearly document the
reasons.
b. When federal institutions are designated, CCMs shall
forward (by regular mail) within two working days, copies of
Central Inmate Monitoring (CIM) documentation, if available, to
the CIM coordinator and all copies of the PSI and other relevant
information or documents to the ISM at the designated
institutions.
c. When non-federal contract facilities or Bureau
institutions are designated, CCMs shall forward copies of the
designation teletypes or memos and any other relevant information
or documents (including PSIs) to the facilities within two
working days. If the CCM believes the inmate will arrive in less
than five days, all documentation shall be sent by overnight mail
or facsimile within one working day of the designation to the
appropriate Bureau or contract facility.
d. CCMs shall complete Attachment 5-1a, Tracking Juvenile
Designations, for all federal juveniles sentenced on or after
July 1, 1998, at the time of designation and with every
subsequent change of facility. This form shall be submitted to
the Central Office CCB.
5.2. REFERRALS FOR INSTITUTION TRANSFER TO CCCs
The Bureau's goal is to provide release preparation services to
all inmates who have need of such services and who meet
requirements for placement in the community. Refer to the
Program Statement on Community Corrections Center (CCC)
Utilization and Transfer Procedure and the Security Designation
and Custody Classification Manual.
Bureau institution staff submit standard referrals to CCMs for
release preparation placement in CCCs. CCC referral procedures
allow the CCM to set an appropriate placement date within the
range the referring institution requested. CCMs should also
review referrals to determine whether the inmate qualifies for
PS 7300.09
CN-2 5/19/99
Chapter 5, Page 6
other community-based programs (home confinement, drug treatment,
etc).
5.2.1. Special Cases
a. Military prisoners who will release directly from Bureau
institutions may be transferred to contract CCCs. Other military
prisoners, including military supervision cases, may not.
b. State prisoners boarded in Bureau institutions are not
eligible for placement in Bureau contract facilities.
5.2.2. Procedures
Upon receiving a completed CCC referral package, the CCM shall
expedite one copy to the appropriate CCC, accompanied by a cover
memorandum recommending a placement date and listing any special
program requirements. The CCM shall indicate a specific
placement date based upon known resources. A response from the
CCC is expected after receipt of the referral package. CCMs must
monitor referrals to ensure this occurs.
a. Acceptance. When a CCC accepts an inmate, the CCM and
CCC staff shall notify the institution. CCMs shall add the
destination assignment to the inmate's SENTRY record. The
effective date of the assignment will be the approved transfer
date. The scheduled transfer date should allow the institution
at least 10 working days to process the release paperwork. If
the date is subsequently altered or canceled, CCMs must modify
the effective date or delete the assignment and notify the
institution.
b. Rejection. When a CCC does not accept an inmate, the
CCC Director must write to the CCM outlining the reasons. The
CCM shall review the rejection to determine if it is justifiable
and not based on a lack of information. The CCM may want to
discuss the rejection with the CCC Director for reconsideration.
When it is certain that placement cannot be made, the CCM must
consider placement in another CCC or probation’s electronically
monitored home confinement program. If the CCM is unable to
place the inmate in the community, the institution shall be
notified of reasons for the denial by BOPNet, the referral
package shall be disposed of, and the CCC rejection letter shall
be mailed to the institution. The CCM shall enter the reason for
denial using the appropriate SENTRY COM assignment. The CCM
shall maintain a record of rejections until the next Program or
Operational Review.
PS 7300.09
CN-2 5/19/99
Chapter 5, Page 7
c. Referral Log. Each CCM shall maintain a chronological
log of CCC transfer referrals. Records shall be maintained until
the next Program or Operational Review. The log must contain at
least:
e Offender name and register number.
e Referral institution and date referral was received.
e Name of referral CCC (or 3-digit code) and date of
referral to CCC.
e Date of CCC reply.
e Transfer date.
e Date institution notified (via DST waiting list).
e Comment section.
5.3. DIRECT PLACEMENT OF OFFENDERS IN CCCs
All direct placements, including supervision and direct court
commitments, shall be subjected to the more restrictive Community
Corrections Component of the CCC program, unless directed
otherwise by judicial recommendation.
5.3.1. Probation/Supervised Release
a. Judges may require probationers to reside in or
participate in a CCC program as a condition of supervision. If
CCMs determine that space is available, they shall authorize CCCs
to accept the offenders and the CCM or CCC Director shall notify
the USPO.
b. The Bureau pays for probationers and supervised
releasees in CCCs only when a court or U.S. Parole Commission
order requires it as a condition of supervision; however,
expenses for pretrial cases in CCCs, including alleged probation
violators who may be required to reside in CCCs as a condition of
release from jail, are the responsibility of probation or the
pretrial agency.
5.3.2. Parole/Mandatory Releasees
The U.S. Parole Commission may require parolees and mandatory
releasees to reside in CCCs as a condition of supervision. If
the CCM determines space is available, they shall authorize CCCs
to accept the offenders and the CCM or CCC Director shall notify
the USPO.
5.3.3. Direct Court Commitments
Federal judges may recommend that CCCs be designated for inmates
to serve short-term sentences (ordinarily less than one year).
PS 7300.09
CN-2 5/19/99
Chapter 5, Page 8
CCMs shall carry out such a recommendation if they determine that
this designation is appropriate. CCMs shall consult with MCAs in
all situations of designation of community based facilities for
periods exceeding one year. If space is not available or if
inmates are inappropriate for designation of CCCs, an appropriate
designation shall be made. The sentencing judge shall be
notified in writing, with an explanation outlining the reasons for
not satisfying the judicial recommendation regarding a specific
institution or program as noted in the Program Statement on
Judicial Recommendations and U.S. Attorney Reports.
5.3.4. Community Confinement
Title 18 U.S.C. § 3563(b) and United States Sentencing Guideline
Section 5C1.1, provide for residence in or participation in the
program of a community corrections facility. Inmates who are
sentenced to community confinement reside in a CCC in lieu of
some portion of the term of commitment required by the Sentencing
Guidelines. The judgment should specify "Community Confinement."
The CCC referral package should contain the same information as
specified in the referral package for Public Law placements.
5.3.5. Intermittent Confinement
Offenders sentenced to Intermittent Confinement remain in Bureau
custody during nights, weekends, or other time periods, in lieu
of some portion of the term of commitment required by the
Sentencing Guidelines. This condition of probation is authorized
in Title 18 U.S.C. § 3563(b) and United States Sentencing
Guideline Section 5C1.1. Usually, it is served in jail. If no
jail or institution is available, a CCC may be designated with
the court's approval or upon the court's recommendation. These
commitments shall be handled like direct court commitments; the
USMS must request designation for an Intermittent Confinement
commitment after they receive the Judgment in a Criminal Case
specifying commitment to the Bureau. These commitments are
subject to the same discipline, escape, and sentence computation
procedures (see the Sentence Computation Manual for rules on
awarding jail credit) as other Bureau inmates during the period
of Intermittent Confinement. They are probationers during other
times. If a CCC is designated, these cases are subject to the
provisions of the Community Corrections Component. These
offenders should be treated as inmates to the greatest extent
possible. In the event of a serious disciplinary infraction the
sentencing court should be notified.
PS 7300.09
CN-2 5/19/99
Chapter 5, Page 9
5.3.6. CCC Placement as a Release Condition
Offenders who are placed on supervised release or have a
supervised release period stipulated to follow confinement in
their Judgment in a Criminal Case may be required to reside in a
CCC as a condition of supervised release for the time specified
by the court. The USPO may refer offenders serving a supervised
release term in the community who require a more structured
environment to the CCM for CCC placement. When inmates are
released directly from institutions with a court or U.S. Parole
Commission ordered supervision release condition that they reside
in a CCC, institution staff shall forward a referral package to
the CCM and providing CIMS clearance when appropriate. Refer to
the Program Statement on Community Corrections Center (CCC)
Utilization and Transfer Procedure.
5.4. CENTRAL INMATE MONITORING SYSTEM
The Central Inmate Monitoring (CIM) System is a classification
system the Bureau uses to monitor the transfer, temporary
release, and community-based activities of inmates who present
special concerns for management. The CCM has clearance authority
for all CIM assignments, except Witness Security cases, which are
reviewed by the Central Office Inmate Monitoring Section.
Community corrections staff shall notify the "Review Authority"
of clearances using EMS Form 404, Requesting Central Inmate
Monitoring Clearance. See the Program Statement on Central
Inmate Monitoring System for additional information and guidance
on who the appropriate "Review Authority" is in different cases.
As CIM "Coordinators" for inmates confined at contract
facilities, CCMs have the same responsibility as the
institutional CIM "Coordinators" for CIM cases in their areas.
CCMs are involved in the designation process and in providing
case management services to inmates in the community. They are
the first to become involved with inmates when U.S. Marshals
request a designation. It is required that the CCM and case
manager be certified in CIM procedures and complete CIM
Certification every three years.
CIM areas unique to community corrections offices are:
5.4.1. Watching for local media and other information on
potential CIM cases; keeping a daily log and a file with CIM
material and sending material to the regional office, as
appropriate; and keeping the file in a locked drawer if it is a
Witness Security case so only those with a need to know have
access.
PS 7300.09
CN-2 5/19/99
Chapter 5, Page 10
5.4.2. Identifying inmate management issues that may pose
concerns during confinement or while in the community.
5.4.3. Initiating requests for written documentation that
substantiates CIM classification. Forwarding information
gathered on inmates to the CIM Coordinator at receiving
institutions.
5.4.4. Transmitting CIM information to the regional designator
for consideration with designation requests. Information about
separatees and WITSEC inmates must not be included in the Remarks
section of the designation request form, but shall be
communicated by phone, SENTRY, or BOPNet.
5.4.5. Ensuring that any inmate for whom a contract facility
is designated is notified in writing, as promptly as possible, of
the CIM classification and the basis for it. The inmate shall
sign for and receive a copy of the notification form.
5.4.6. Preparing the packet on all inmates for whom contract
facilities are designated and are identified as CIM cases, as
outlined in the Program Statement on Central Inmate Monitoring
System. The CCM shall ensure that the files of all inmates so
identified contain the 8½ x 11 inch white card stamped: "NOT TO
BE TRANSFERRED OR PARTICIPATE IN COMMUNITY ACTIVITIES WITHOUT CIM
CLEARANCE."
5.4.7. Ensuring that clearance for CIM cases approved for CCC
transfer has been obtained before the inmate arrives at the
facility. This clearance is to be documented in the file, with a
hard copy printed no earlier than one to seven days before an
inmate's arrival. Checking for prior CIM classification on
public law cases is necessary. If a prior separatee is at the
CCC, the CCM must ensure the inmate's safety is not jeopardized.
5.4.8. Monitoring of clearances for transfers or community
activities outside the commuting area of the contract facilities
by the CCM.
In reference to additional CIM clearance for CIM cases who are
transferred from a CCC to a home confinement program, the CIM
activity clearance for a CCC placement is from the time the
inmate departs the institution through the time he or she is
released from the CCC or other community programs. There is no
need for CIM clearance for inmates going from a CCC to home
confinement if the home confinement location is within the same
commuting area. This also applies to inmates transferring from
one contract facility to another under the same CCM office;
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however, a review of the CIM status shall be conducted to ensure
separatees are not placed at the same facility.
5.4.9. Register numbers for uncommitted separatee(s)can be
obtained from the regional designator. See the Program Statement
on Central Inmate Monitoring System.
5.4.10. CCM authorization of CIM clearance when CCC inmates
must be transferred. Another unique responsibility is approving
CIM inmates for furloughs outside the commuting area. In
separation/state boarder cases, the CCM approving the furlough
shall complete the SENTRY clearance transaction using EMS Form
404, Requesting Central Inmate Monitoring Clearance.
5.5. REPORTING SIGNIFICANT INCIDENTS, EMERGENCIES AND DEATHS
CCMs shall report and route unusual and serious incidents,
assaults, deaths, disturbances, fires, natural disasters, weapons
discharges, and adverse incidents that may result in significant
publicity using the Report of Incident form. Uses of force,
restraints, or chemical agents shall also be reported on the
Report of Incident form. An After-Action Review Report (EMS Form
586) shall be prepared as necessary. Each of these forms shall
be routed to all listed on the bottom of the form and to the MCA,
CCRA, and the Central Office COMM CORR mailbox.
The regional duty officer shall be notified when the occurrence
is on a weekend or after normal business hours. There will be
circumstances when some of these incidents present regional or
national sensitivities and require immediate or next day
telephonic alert to respective staff in the regional and Central
offices. For example, if there is a probability for regional or
national media attention to the incident, immediate telephonic
reporting may be called for in addition to completing the
Incident Report.
In the event of a significant escape, related incident, or death
of an inmate in a contract facility, the CCM shall follow
procedures outlined in the Program Statement on Escapes/Deaths
Notification. The CCM performs the same role as the chief
executive officer. In the event of an inmate death, CCC or jail
staff shall take a rolled right thumb print and arrange for the
death certificate to be completed. These two documents shall be
mailed to the CCM, who shall make sure both are placed in the
Inmate Central File. A copy of the death certificate shall be
mailed to the Regional Health Services Administrator.
The CCM shall instruct contract facility staff to call the local
coroner to review the case if the death is violent, accidental
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with unusual or questionable circumstances, or sudden, when the
deceased had not been under medical supervision. In all other
cases, the CCM shall follow local law or practice in disposing of
the body. If relatives claim the body, the Federal Government
has authority to release it to them. If the relatives live at a
distance, the government shall pay the cost of transporting the
body and the expense of preparing it for shipment, including
embalming, clothing, casket, and shipping container. If the body
is not claimed by relatives, the government has authority to
arrange and pay for local burial expenses. The regional contract
specialist shall provide information on maximum allowable
expenses. Price quotes shall be obtained from several morticians
and provided to the contract specialist, who shall select the
vendor and issue a purchase order.
When embalming or an autopsy is necessary, refer to the Program
Statements on Autopsies, Authority to Order and the Health
Services Manual for further information regarding religious
practices. The regional chaplaincy administrator is to be
contacted for guidance.
The CCM shall report all deaths immediately to the Regional
Correctional Services Administrator by telephone, confirm by
BOPNet and forward with copies of the Incident Report to the
Correctional Services Administrator and National Health Systems
Administrator in the Central Office, MCA, CCRA, and CCA.
The CCM must notify the sentencing U.S. district court judge by
letter, with copies to the U.S. Attorney, Chief U.S. Probation
Officer, and the Regional Director. The Program Statement on
Escapes/Deaths Notification also explains special handling for
WITSEC cases, notification procedures for family and friends,
medical reports, and other information needed.
5.6. ESCAPES
5.6.1. Definition and Application
Any committed inmate who fails to report to a contract facility
for admission, fails to remain at the approved place of
employment or training during the hours specified by the terms of
the employment or training program, fails to return to the
facility at the prescribed time, or fails to return from any
other approved absence at the time and place stipulated, may be
placed on escape status after staff have completed and documented
routine procedures to locate the inmate.
The federal escape statute only applies to those who escape from
the custody of the Attorney General or Bureau. A person in a CCC
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as a condition of probation, supervised release, or bond is there
by order of the committing court and is not deemed to be in the
custody of the Attorney General or the Bureau. Probationers and
those on bond who leave a CCC without permission cannot be
prosecuted for escape, and should not be required to sign
documents indicating they can be. Having CCC staff add this
statement to their forms or rules may prevent problems:
"A person who is residing in this CCC as a condition of probation,
parole, supervised release, or bond is not in the custody of the
Attorney General or Bureau of Prisons and
thus cannot be prosecuted for escape if they leave the facility
without permission. However, any unauthorized
departure from the facility by those on probation, parole, or
bond will be immediately reported to appropriate court
personnel."
Any offender on probation or bond is considered to have absconded
from supervision rather than escaped from custody. It is not
necessary to complete the Escape Report, EMS Form 907, for
absconders.
5.6.2. Procedures
a. Escape from a contract facility
(1) CCMs must ensure that all contract staff are
familiar with escape reporting procedures.
(2) Contract staff must report escapes to CCMs
immediately after the inmate is placed on escape status (no
reporting delays are allowable for escapes from secure-type
facilities). Staff should not wait until regular working hours
if the escape occurs in the evenings or on weekends. The CCM shall
ensure the CCC staff can contact CCM staff after hours. This
may include providing a beeper or cell phone number (with backup
home number of a staff member), or providing the home phone
numbers of at least two community
corrections staff members. CC Offices shall establish
local procedures for immediate USMS notification.
(3) Upon notification of an escape during non-duty
hours, the CCM shall determine the necessity to contact the
regional duty officer, depending on the circumstances of the
escape, but shall always report escapes from secure custody.
These requirements necessitate CCM staff being
aware of the weekly
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regional duty officer roster. Escapes from contract
confinement facilities (jails, long-term institutions,
juvenile boarding facilities) must be reported immediately.
(4) The CCM shall complete the Community Corrections
Escape Report (EMS Form 907), (Attachment 5-2b). The
following information may be of assistance in filling out this
form:
ESCAPE FROM CUSTODY - Under this category, report an inmate
whose whereabouts are unknown after contract staff have tried
to locate the inmate at local jails, hospitals, job, and pass
locations.
ESCAPE DUE TO COMMUNITY ARREST - Under this category, report
an inmate who is missing as a result of an arrest by a law
enforcement authority. The CCM is aware of the inmate's
location and has initiated procedures to place a detainer in
favor of the USMS with the USM having
custody. The CCM shall ask the USMS to notify the
CCM when the detainer is executed. In SENTRY
these are identified as technical escapes.
Community Arrest/New Criminal Behavior - An inmate is arrested
for engaging in new criminal behavior since assignment to a
community based program, such as when an inmate is arrested and
charged with a robbery that occurred while signed out of the
CCC.
Community Arrest/Old Criminal Behavior - An inmate is arrested
for criminal behavior that occurred prior to assignment to a
community based program. For example, the inmate is
arrested by an officer who recognizes him as having a warrant
pending since before this incarceration.
The "Circumstances" section should include basic information
pertaining to the escape with facts related to any new or old
criminal behavior, injuries, and/or media attention. Note
any public safety factors or special management concerns as
well as pertinent background information on the inmate and
offense not detailed in the Inmate Load and Security
Designation form (BP-S337). Facts pertaining to the CCC’s
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accountability procedures regarding the incident are to be
included.
Other areas in the Escape Report are self explanatory. CCMs
need to ensure this entire form is completely filled out with
accurate information pertaining to the inmate's status.
(5) The CCM must notify the FBI and USMS within the
district of the escape immediately of an escape. Details of
the escape and the identity of the escapee must be furnished.
The Notice of Escaped Federal Prisoner form (BP-S393.058) is to be used for this notification. In
addition, the CCM needs to send a message to the USMS
authorizing them to apprehend and
detain the escaped federal prisoner. For an escape due
to community arrest, the CCM needs only to send a JUST message
to the USMS to have a detainer placed on the escapee. Other
notifications are not necessary.
(6) When an inmate escapes, CCMs shall send a letter
via fax immediately (within the first working day) to the
sentencing judge(s) explaining the details of the escape,
including a copy of the BP-S393, followed by original
correspondence. The U.S. Attorney and U.S. Probation Office
shall be faxed a copy of the letter to the judge. This
procedure does not apply to escapes
due to community arrest.
(7) CCMs shall update SENTRY to indicate changes in release
status, COM assignments, custody, good time, and sentence
computation.
(8) CCMs shall maintain escape documentation,
including copies of the escape report, notifications, and
disciplinary information. Disciplinary information
is filed in a separate disciplinary file. This
documentation can be disposed of once a Program/Operational
Review has been conducted and the individual has been
apprehended.
(9) The CCM shall purge file material already in the
Inmate Central File, include original escape documentation
with disciplinary reports and escape notification, and send
this to the parent institution along with a terminal report
after disciplinary proceedings are completed.
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(10) The Bureau does not pay the contractor for the
day of escape unless the contract specifies otherwise.
CCMs should be familiar with the procedures regarding escapes
from community based programs found in the Program Statements on
Escape From Extended Limits of Confinement, Escape/Deaths
Notification, and CCC Utilization and Transfer Procedure as well
as the CCC Statement of Work.
b. Escape while in route from an institution to a CCC:
(1) When an inmate on unescorted transfer fails to
report to a CCC, the CCM shall report the inmate as an
escapee via telephone and BOPNet GroupWise to the ISM
at the sending institution. The U.S. Marshal in the
CCC district shall be notified of the escape. The CCM
shall also notify the Regional Director, Central
Office, and the sending institution via BOPNet
GroupWise of the escape.
(2) Staff at the sending institution shall update
SENTRY to indicate changes in release status and sentence
computation as well as preparing an incident report and conducting
a discipline hearing in absentia. Institution staff shall complete
the Incident Report
and make all notifications as required by the Program Statements
on Unescorted Transfers and Voluntary Surrenders, Escapes/Deaths
Notification, and CCC Utilization and Transfer Procedure.
c. Apprehension or return to facility of contract facility
inmate
(1) Apprehension of CCC failures is to be coordinated with the
contractor and USMS to reduce the possibility of escape. This
can be accomplished by issuing the incident report when the USMS
arrives to take custody or by asking the USMS to pick up a home
confinement inmate at his or her residence. The importance of
immediate transfer must be stressed to the USMS when
the CCM determines there is an escape risk or threat to the inmate
and/or others. In routine cases,
apprehensions should be scheduled to occur during
normal business hours as noted in the Program Statement on the
Interagency Agreement between the Bureau of Prisons and U. S.
Marshals Service.
(2) Gather all information available related to the
inmate's activities while on escape status. This may
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necessitate phone calls to the USMS, other arresting
authority, or USPO.
(3) Complete the Community Corrections Apprehension
Report (EMS Form 908), (Attachment 5-2d). This report
should include information describing any new offenses
committed and comments on whether injuries or media coverage
resulted. Apprehension reports must be completed on escapes
due to community arrest when they are returned to federal
custody.
(4) Determine through the U.S. Attorney and/or the
USMS if there will be federal escape prosecution. If
so, do not designate until after prosecution and sentencing
and the USMS has formally requested designation.
(5) Make the determination if local redesignation is
appropriate, i.e. from a CCC to a local jail. If so,
follow routine inter-facility transfer procedures. After
designation is made, the CCM shall send a JUST message
(Attachment 5-2c) to the USMS to transfer the inmate to
closer custody.
(6) Contractors shall be advised to accept an escaped
inmate returning to the facility always and to call the CCM
immediately for further direction. The USMS shall
be called to pick up the inmate immediately, unless the CCM
chooses to expunge the incident report and charge the inmate
with another accountability code.
If there are no significant criminal charges and a
transfer to a Bureau institution is the most appropriate
course of action, regular transfer procedures shall be
followed as with any other CCC failure.
(7) If significant time has passed (weeks or more)
from the date of escape and/or there have been significant
criminal charges, the CCM shall do a new Inmate Load and
Security Designation form (BP-S337).
(8) The Program Statement on Escape from Extended
Limits of Confinement, provides guidelines for giving full
credit for time served while detained or arrested, gives
procedures for when a state institution is designated for
continued service of federal sentence, and explains situations
where escape status is to be nullified. Complex situations for
which there appear
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to be no clear policy guidelines must be referred to the
Regional Inmate Systems Administrator (RISA).
(9) The CCM shall check quarterly to see if an escapee
has been apprehended via SENTRY, NCIC, and the USMS.
The results of this check shall be documented.
5.7 DISCIPLINE/IN-PROGRAM FAILURES. This section applies to all
inmates in contract facilities which are required, by the terms
of their contract, to use a discipline system in which a Bureau
DHO takes final action. For inmates identified as having
sentences affected by the Violent Crime Control and Law
Enforcement Act (VCCLEA) and the Prison Litigation Reform Act
(PLRA), also see Section 5.8, SPECIAL DISCIPLINE PROCEDURES FOR
VCCLEA/PLRA INMATES IN NON-FEDERAL FACILITIES.
For those contract facilities which are not required to use Bureau
discipline procedures (generally local jails and state Departments
of Correction) the CCM must ensure the facilities use and adhere
to the concepts of due process as outlined in Wolff v. McDonnell.
The Program Statement on Inmate Discipline and Special Housing
Units and prescribed procedures for inmate discipline as
contained in the contractors respective Statement of Work shall
be referenced.
The following Bureau forms are used during the community
corrections disciplinary process and can be found on BOPDOCs:
BP-S494.073 Checklist for Center Discipline Committee
Certification;
BP-S205.073 Incident Report (CCC’s);
BP-S206.073 Inmate’s Rights at Center Discipline Committee
Hearing (CCC’s);
BP-S207.073 Notice of Center Discipline Committee Hearing
(CCC’s);
BP-S495.073 Waiver of Appearance (CCC’s);
BP-S209.073 Duties of Staff Representatives (CCC’s);
BP-S208-073 Center Disciplinary Committee Report (CCC’s);
BP-S389.058 Statutory Good Time Action Notice;
BP-S390.058 Extra Good Time Recommendation; and
BP-S448.058 Good Conduct Time Action Notice.
The following tables are used during the community corrections
disciplinary process and can be found in the Program Statement on
Inmate Discipline and Special Housing Units:
Table 3 Prohibited Acts and Disciplinary Scale
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Table 4 Sanctions (Note: Sanctions applies with the
exception that the VCCLEA/PLRA exemplary compliance requirement
does not apply to inmates in contract facilities).
Table 5 Sanctions for Repetition of Prohibited Acts within
the Same Category
The Discipline Hearing Administrator (DHA) shall establish
procedures, within his or her respective region, for mailing
completed CDC packets for review and imposition of final action.
5.7.1. Community Corrections Center Staff
The contractor shall comply with the Bureau of Prisons prescribed
policy and procedures for inmate discipline as contained in its
Statement of Work. No deviation from this policy may be
permitted.
5.7.2. Procedures Upon Admission to Center
The contractor shall furnish a copy of “Table 3-Prohibited Acts
and Disciplinary Scale,” found in the Program Statement on Inmate
Discipline and Special Housing Units, the center's disciplinary
system, and the established rules of the facility to each new
offender upon arrival. Copies of these documents shall be posted
at a prominent location accessible to all offenders. The
offender's file shall contain a receipt, signed by the offender,
stating that the offender has received and understands the
contents of these documents.
5.7.3. Discipline Hearing Officer (DHO)
Ordinarily, within three working days of receipt of the Center
Disciplinary Committee (CDC) Packet, the DHO shall review it for
compliance with the CDC discipline policy specified in this
Manual and Wolff v. McDonnell. If there are any discrepancies in
the CDC packet, the DHO shall communicate directly with the CDC
Chairperson by telephone or written correspondence. In order to
ensure that all phases of the discipline hearing record are
complete and the findings are based on facts, the procedures have
been followed, and that any delays are justified, the DHO shall
complete the Checklist for Center Discipline Committee
Certification form (BP-S494.073) and place it in the front of the
CDC packet. The DHO shall also sign and date the CDC Report on
the top right side to certify compliance with disciplinary
requirements. If the DHO is not satisfied that all criteria are
met, they will return the packets and point out errors and
omissions to be corrected. If the DHO experiences recurring
problems, the CCM should be notified so the issue can be
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addressed as a matter of contract compliance. If
the DHO is satisfied that all criteria are met, he or she will
certify, impose final action, and sign and date the CDC report.
Additionally, the DHO will enter the incident report and charges
using the SENTRY transaction "Update Charges" as well as revise
the "Add Hearings/Findings" transaction immediately after final
action is taken and enter the SENTRY report number in the upper
right corner of the Checklist for CDC Certification. The report
will be given an initial incident report status of "CDC”. If an
inmate has any prior discipline action, the DHO shall determine
if there are any executable suspended sanctions using the SENTRY
Sanctions Available to Execute. The Update Changes transaction
should be done as soon as the packet is received from the CCC,
even if the case is to be returned for corrective action. Doing
so provides an effective tracking system of reports under review.
The DHO shall maintain a log to record pertinent information on
each case reviewed. At a minimum, the log shall include:
e the inmate name, e
register number, e
facility,
e date of CDC hearing,
e date received by DHO,
e date returned (if errors were discovered),
e date reply received,
e final action date,
e SENTRY entry date,
e SENTRY Incident Report number, and
e date forwarded to the CCM.
This information shall be available for review by the Discipline
Hearing Administrator and the Community Corrections
Administrator.
5.7.4. Procedures CCM to Follow After Imposition of Sanctions
When the CCM receives the CDC packet from the DHO, he or she
shall review the CDC packet further to ensure that it has been
certified, sanctions imposed, signed and dated by the DHO as
required. The DHO's sanction is final and subject only to the
CCM's review to ensure conformity with the provisions of the
community corrections discipline policy.
The CCM shall ensure the sentence is recomputed and/or initiate
the transfer, if appropriate, and ensure that any other sanctions
the DHO imposed are executed in accordance with directives.
PS 7300.09
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The CCM shall notify facility staff in writing of decisions and
provide a copy of the CDC report for the inmate within three
working days, if possible, but no longer than five working days
from date of receipt of the final disposition from the DHO. Part
II of the Incident Report (investigation) may not be given to the
inmate. Any exceptions to this notification procedure must be
justified and documented. If the inmate's whereabouts are
unknown, as in the case of an escapee, the report and all
material shall be sent to the parent institution for inclusion in
the Inmate Central File. If an inmate is in-transit, his or her
copy is to be sent to the transfer destination with a note to
deliver it to the inmate upon arrival. Whatever action is taken
to provide an inmate with his or her copy of the CDC report, must
also be documented on the CCM's copy.
The CCM shall forward a copy of the CDC report to the U.S. Parole
Commission on all cases with a parole date.
The CCM shall maintain a copy of a complete CDC packet for 12
months or until the next program or operational review is
conducted. In escape cases, a duplicate packet shall be
maintained until it has been determined the inmate was returned
to custody and the discipline process has been completed.
The CCM shall maintain a log to record pertinent information on
each case processed. At a minimum, the log shall include:
e the inmate name, e
register number, e
facility,
e date of CDC hearing,
e date received from DHO,
e final action date,
e SENTRY Incident Report number, and
e the date a copy was sent to Inmate/CCC/USPC.
This information shall be available for review by the Discipline
Hearing Administrator and the Community Corrections Administrator
and shall be retained for at least two years.
Unless otherwise specified in the respective contract, state and
local institutions and detention facilities may use their own
discipline procedures as long as they comply with the due process
requirements of Wolff v. McDonnell. These facilities may choose
to use the procedures and forms for discipline in CCCs, providing
the documents are modified to indicate the facility is other than
a CCC. The CCM shall closely monitor these discipline systems to
ensure continued compliance with Wolff v. McDonnell requirements.
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5.7.5. SENTRY Transactions
The CCM shall complete and place in the inmate’s file any of the
following forms that are applicable: Form BP-S389.058,
Statutory Good Time Action Notice; Form BP-S390.058, Extra Good
Time Recommendation; Form BP-S448.058, Good Conduct Time Action
Notice. The CCM shall forfeit and/or disallow any Good Time in
SENTRY as directed by the DHO.
5.7.6. Appeals
An inmate in a community corrections facility or program may
contest disciplinary action imposed by the CCC/CDC staff or the
DHO by appealing through the Administrative Remedy Program. When
the inmate is advised of the disciplinary action, he or she shall
also be advised of appeal procedures.
If the appeal involves only minor sanctions imposed by CCC/CDC
staff, a Request for Administrative Remedy (EMS Form 229 - not
available on BOPDOCS, paper only), may be used to appeal the
action to the CCM. Minor disciplinary sanctions are not entered
into the SENTRY "Inmate Discipline Data System." However, when a
CCC/CDC minor sanction is appealed to the CCM via a Request for
Administrative Remedy, the CCM must ensure that the appropriate
data is entered into the SENTRY Administrative Remedy Module.
If the appeal involves final sanctions imposed by the DHO on an
incident report (major or minor), the following shall determine
the method to file an appeal:
e Request for Administrative Remedy form, filed with the
respective Regional Director for inmates still assigned to a CCC.
e Letter to the Regional Director for inmates who have
been removed from a CCC and placed in local jails or contract
detention facilities and do not have access to the appropriate
appeal form.
If the inmate is to be transferred to a federal institution, the
inmate shall wait to use the Administrative Remedy procedure upon
arrival at the institution.
5.7.7. Training Plans/Agenda
The DHA shall ensure inmate discipline training is provided for
the contractor and CCM staff annually and any additional training
as needed. The training agenda shall focus on major problem
areas identified during DHO review of the CDC packets.
PS 7300.09
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The CCM shall continue to provide initial guidance and
supplementary training to new staff or contractors between the
regional-wide training conferences. All discipline training
provided to contractors shall be documented in the CCM contract
file.
5.8. SPECIAL DISCIPLINE PROCEDURES FOR VCCLEA VIOLENT/PLRA
INMATES IN NON-FEDERAL FACILITIES
The VCCLEA became effective on September 13, 1994, and applies to
offenses that occurred on or after that date but prior to
April 26, 1996. The PLRA became effective on April 26, 1996, and
applies to offenses that occurred on or after that date.
All CCC inmates sentenced on or after September 13, 1994, are
subject to good time sanctions as outlined in the Program
Statement on Inmate Discipline and Special Housing Units. In
particular, they are subject to mandatory disallowance sanctions
for certain severity prohibited acts. VCCLEA non-violent inmates
are also impacted by this policy.
5.8.1. Identifying Sentences Imposed Pursuant to VCCLEA and
PLRA
Community corrections staff shall identify inmates sentenced
under the provisions of VCCLEA and/or PLRA for direct placement
in state and long-term boarder contract facilities. Identifying
and loading appropriate SENTRY data is also necessary for these
inmates. Institution staff will have made this identification
and the SENTRY applications already on all long-term boarders
transferred to contract facilities from Bureau institutions.
5.8.2. Notification of VCCLEA and PLRA Requirements
a. To Inmates. The CCM shall notify each VCCLEA violent
and/or PLRA inmate serving a sentence of more than one year who
is placed directly in a contract facility (initial designation,
except Taft Correctional Institution or the Southwest Detention
Facility) as a long-term boarder that, if he or she is found
guilty of a prohibited act, disallowance and/or forfeiture of
good conduct time shall be in accordance with Bureau policy.
Inmates who transfer to contract facilities from Bureau
institutions do not need to be notified. See the Notification to
Inmates Sentenced Under the VCCLEA and/or PLRA (Attachment 5-
3a.), as a sample inmate notification letter. The CCM shall also
send a copy of the letter to the facility director or Warden.
b. To Contractors. The CCM shall notify the appropriate
state or long-term boarder contract facility director or Warden
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that if a VCCLEA violent or PLRA inmate is found guilty at a
discipline committee hearing of a prohibited act, they must send
the CCM a copy of the disciplinary proceeding. See the
Notification to Contract Facility Director or Warden of VCCLEA
and/or PLRA Mandated Reporting Requirements for Prohibited Acts
(Attachment 5-3b.), as a sample of the facility notification
letter. This letter also requires the contractor to execute
Attachment 5-3a.
5.8.3. Incident Reports
The report on a VCCLEA violent or PLRA inmate who commits a
prohibited act while housed in a state or long-term boarder
contract facility, must be referred to the Discipline Hearing
Administrator (DHA) or the designated Discipline Hearing Officer
(DHO), or a CCM staff member who is DHO certified in offices with
an unusually high number of incident reports.
a. Contract facilities with DHO discipline process. When
an inmate, in a contract facility that already uses the DHO as
the official taking final action, receives an incident report,
the discipline committee shall recommend good time be disallowed
as prescribed by VCCLEA and PLRA. The discipline committee shall
forward copies of all relevant documents to the DHO with a brief
statement of reasons for the referral and any recommendation for
appropriate disposition in accordance with the exemplary
compliance standards.
The DHO must disallow good conduct time credit available for a
VCCLEA violent or PLRA inmate, and the sanction shall not be
suspended. This is indicated in “Table 4-Sanctions” of the
Program Statement on Inmate Discipline and Special Housing Units,
also reference “Table 5-Sanctions for Repetition of Prohibited
Acts within the Same Category.”
b. Contract facilities with an independent discipline
process. For inmates confined in state or other long-term
boarder contract facilities with independent discipline
procedures, the following procedures apply:
e The contract facility staff shall be asked to provide a
complete discipline packet to the CCM for VCCLEA
violent or PLRA inmates, who have been found guilty of committing
a prohibited act.
e The CCM shall forward the packet to the DHA. The DHA/O
shall evaluate the discipline packet to insure that basic due
process has been met according to Wolff v. McDonnell. If the
DHA/O finds that Wolff v. McDonnell
PS 7300.09
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requirements have been met, he or she shall make the necessary
SENTRY transaction for disallowance and/or forfeiture of good
time and notify the CCM to make the necessary SENTRY transaction
to the computation.
e The DHA/O shall return the packet to the CCM for
distribution to the inmate and inclusion in the Inmate Central
File.
5.9. TRANSFER OF INMATES
5.9.1. Authority and Approval
a. Authority to transfer federal inmates between non-federal facilities and from non-federal facilities to federal
institutions is delegated to CCMs. General procedures are
provided in the Security Designation and Custody Classification
Manual. When transferring inmates, care must be taken to
obtain CIM clearance when necessary, and to inform regional
staff of cases that may evoke publicity or require unusual
handling.
b. CCMs must obtain approval from the receiving facility
(or other CCM if the receiving facility is in another service
area) before ordering transfer of inmates to other non-federal
facilities. Ordinarily, CCMs must approve
transfers from one facility to another within the same agency or
state correctional system prior to the transfer. CCMs may
authorize transfers from non-federal to federal
institutions, but must consult with the regional designator.
c. CCMs shall obtain CIM clearance before redesignation,
after determining the inmate must be returned to the
institution, and after consultation with the regional
designator, if necessary.
5.9.2. Forms and SENTRY Procedures
a. The redesignation shall be completed as follows:
Register Number: 12345-678
Name: Kilroy
Sex, Race, Age:
Custody:
ARS Status:
Resident:
Level:
Facility Designated: LOM
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b. Appropriate transfer codes must be used in accordance
with current directives. A disciplinary transfer (Transfer
Code 309) requires this sanction to be imposed formally by the
DHO following a CDC hearing.
c. CCMs shall use the SENTRY redesignation transaction to
authorize the transfer of CCC program failures to federal
institutions. CCMs shall include appropriate comments
(program failure, etc.) in the Remarks section of the
redesignation screen and do not need to send BOPNet messages to
explain the redesignation unless there is insufficient space in
the Remarks section. Redesignations appear on the designated
institution's daily log and will place inmates in the "pipeline"
for population management purposes.
d. A Transfer Order (BP-S399.058) shall be provided to the
USMS. When time constraints require expedience, CCMs may
provide transfer orders to the USMS via teletype, facsimile, or
SENTRY using EMS Form 417. A signed, printed copy serves
as the original for the USMS, and copies may be routed to
the ISM at the receiving institution, the regional designator,
and the U.S. Parole Commission, if applicable. A SENTRY-generated In-Transit Information Form should also be provided to
the USMS. The CCM provides a copy to the
receiving facility.
e. CCMs shall ensure that file material, including original
disciplinary reports and copies of communications to the
U.S. Parole Commission, are forwarded immediately to
redesignated institutions. They shall notify institutions
of special circumstances that might affect an inmate's release
date.
f. CCM staff shall remove inmates from EGT earning status
(SENTRY Sentence Monitoring) when they are removed from CCCs and
shall modify the sentence computation to reflect forfeited or
withheld statutory good time.
5.10. PAROLE HEARING PROCEDURES
CCMs must establish procedures for U.S. Parole Commission
hearings on all eligible inmates. CCMs must develop parole files
for inmates who are eligible for parole, prepare dockets, submit
lists of eligible inmates to the U.S. Parole Commission, and help
facilitate arrangements for hearings. If the non-federal
institution does the docketing, the CCM must monitor the
procedure thoroughly. One suggested method of monitoring would
be to use the SENTRY’s Parole Date sentence computation function
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to establish a parole waiting list in SENTRY, similar to federal
institutions.
The U.S. Parole Commission must be notified whenever a CCC inmate
with an effective parole date is arrested before the release
date.
The U.S. Parole Commission must receive a mini-file on these
inmates by the 10th of the month preceding the month of the
examiners arrival for the hearings. The files must include:
parole application, sentence computation, PSI, and probation
revocation report, if applicable. If available, the following
should also be sent: FBI arrest record (rap sheet),
classification study, Report on Committed Offender (AO 235), and
Report on Convicted Offender by United States Attorney (USA-792).
5.11. VICTIM AND WITNESS PROTECTION ACT OF 1982
The Program Statement on Victim and Witness Notification is the
primary document for procedures in this area.
Transferring institutions are to advise the party to be notified
when the CCC acceptance date is established, but, no later than
two weeks prior to the transfer. If the transfer date moves up,
the institution must renotify. CCMs must ensure the
BP-S323.014, Victim and Witness Notice showing this has been done
is received prior to the transfer. If the inmate is released
prior to the date noted on the Victim and Witness Notice, or the
date moves up, the CCM must renotify the victim or witness.
When an inmate's custody is extended beyond the scheduled release
date; it is not necessary to renotify the victim or witness.
CCMs shall notify the interested party if the inmate goes on
furlough, dies, or is apprehended as an escapee. Attachments to
the Program Statement can be used for making notifications. If
the inmate escapes, the CCM shall make immediate notification by
telephone. CCMs shall ensure the SENTRY Daily Log transaction is
used to monitor Victim/Witness Program cases placed in CCCs under
their responsibility.
CCMs have the same approval responsibilities as Bureau Wardens
under the Victim/Witness Program for federal inmates confined in
long-term contract boarding facilities (state institutions) and
for short-term direct court commitments to other non-federal
facilities.
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5.12. MEDICAL SERVICES
5.12.1. Entrance Medical Appraisal
Inmates transferred from a federal to a non-federal facility must
receive a medical evaluation and clearance at the federal
institution prior to transfer. Refer to the Health Services
Manual.
Inmates committed directly to non-federal facilities, including
CCCs, must receive entrance medical appraisals as required by the
Statement of Work. The Bureau pays for these physicals,
including those of supervision cases, unless the contract
specifies to the contrary. In most cases, the requirement is for
a general physical exam (comparable to an insurance-type
physical) that does not require hospitalization to complete.
Contractors must ensure that the results are documented and that
copies are placed in inmates' files and sent to CCMs. The exams
should be completed within five days of commitment. The
requirement for entrance physicals also applies to inmates
required to reside in a CCC as a condition of supervision unless
one is included in the referral packet.
All other medical and dental expenses for persons under
supervision of the USPO are the inmate’s responsibility. See the
Statement of Work.
5.12.2. Routine Health Care
Inmates in CCCs are expected to become financially self-sufficient and therefore, bear the cost of medical care.
Contractors must obtain CCM approval prior to authorizing non-emergency medical treatment for which the Bureau may be
responsible. In emergencies, contractors shall obtain the
treatment required to preserve the inmate's health and shall
inform the CCM as soon as possible. CCMs shall determine whether
the inmate has adequate resources to cover the cost of the
treatment (medical insurance or adequate funds) or whether it
should be borne by the Government.
CCMs shall inform the Office of Medical Designations and
Transfers (OMDT), CCRA, and MCA immediately when an inmate is
hospitalized or otherwise referred for in-patient emergency
treatment or outpatient surgery for which the Government may be
responsible. It is a good practice to send a courtesy
notification by BOPNet or fax to the Regional Health Services
Administrator (RHSA). All other medical expenses shall be
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subject to the RHSA’s approval. When an inmate is placed
temporarily in a local hospital, SENTRY should reflect the ARS
code "Local Hosp." The OMDT decides whether continued
hospitalization or transfer to an institution is appropriate.
CCM approval of payment for medical treatment is subject to the
following conditions:
a. CCMs may not authorize payment for an inmate who is
receiving Medicaid benefits, has medical insurance, or the
ability to pay. Inmates who insist the Government is responsible
for medical care may be considered for transfer to an institution
for appropriate treatment.
b. Inmates who are veterans retain any eligibility they may
have for treatment at a Veteran's hospital.
c. CCMs may authorize admissions to hospitals for non-emergency medical treatment only upon the OMDT’s approval.
d. Generally, CCMs may authorize non-emergency medical care
for inmates in jails and non-federal long-term facilities
(including juveniles) when recommended by staff at these
facilities and when such treatment appears necessary. If there
is a cost, the RHSA must pre-approve it. Inmates in these
facilities may not pay for their own medical care.
e. CCMs may authorize non-emergency dental care (including
dentures and dental reconstruction) and vision correction
(eyeglasses) only upon the RHSA's approval.
f. When the RHSA must approve medical services, the CCM
must submit a completed EMS-213, Medical Treatment in Local
Community form to the RHSA. When OMDT must pre-certify
treatment, the CCM shall follow current health services
procedures and direct any related questions to the OMDT via
BOPNet or telephone.
5.12.3. Sensitive Medical Data (SMD)
CCMs are authorized SENTRY access to SMD data only to retrieve
information on cases under their responsibility. CCM offices
shall not delete or add any data to the SMD system.
5.12.4. Mothers and Infants Together (MINT) Program
A description of this program for pregnant federal inmates is
found in the Program Statement on CCC Utilization and Transfer
Procedure. This policy contains information on associated
medical care costs and a "Sample Statement of Responsibility for
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MINT Referral," documenting who will have financial
responsibility for the baby.
5.13. GENERAL CASE MANAGEMENT IN CONTRACT CCCs
5.13.1. Offender Subsistence Collection
To promote financial responsibility and offset the cost of
incarceration, the Bureau requires inmates to make subsistence
payments to contractors. Contractors shall collect 25% of each
employed inmate's weekly gross income not to exceed the daily
inmate-day rate. Payments shall be rounded down to the nearest
dollar amount. Offenders who have other means of financial
support (VA Benefits, Worker's Compensation, retirement income,
etc.) shall contribute an amount determined by the contractor and
approved by the CCM, to approximate 25% of their weekly income.
Contractors must collect the full subsistence due. Partial weeks
of residence are prorated. Contractors shall reduce the monthly
billing to the Bureau by the amount collected in subsistence. An
inmate who fails to pay subsistence may have privileges withheld
or disciplinary action may be taken, including termination from
the program. Unless otherwise indicated by the court,
supervision cases shall pay subsistence. Additionally, any
inmate who transfers to the home confinement component of the
program is not required to pay subsistence.
If the court indicates that subsistence should not be collected,
the CCM shall comply with the court's order. If the court has
made it known that they do not consider it appropriate to collect
subsistence on a direct commitment, the CCM should treat this
like any other judicial recommendation, that is, look at the
merits of the case and make every effort to make a sound
decision. If the CCM determines not to follow the court's
recommendation, a letter of explanation must be sent. Absent a
court order, offenders are responsible for subsistence payments
as outlined in this section.
Pretrial defendants in a CCC are not restricted from paying
subsistence. The CCM should ensure that contractors work closely
with the local pretrial services office to determine which, if
any, pretrial defendant(s) should pay.
The subsistence program applies to all offenders assigned to
community-based programs.
In cases of extreme hardship, CCMs may waive or modify subsistence
payments on a case-by-case basis, with the MCA's concurrence.
Ordinarily, obligations including fines, restitution, or court
costs shall not be considered a factor when granting waivers.
Extreme hardship is defined as a situation
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when the offender has made every effort to establish a suitable
release plan, but, due to circumstances beyond his or her
control, has been unable to prior to release. Examples of such
situations include homelessness, unemployment due to physical or
mental health reasons, unexpected or emergency critical health
care needs, or no community resources.
To be considered for a modification or waiver of subsistence, the
offender must submit to the contractor a written justification
along with a financial statement to include a listing of all
debts and assets. The contractor shall forward the offender's
request to the CCM with its recommendation. Subsistence shall be
waived/modified for inmates who have been assessed a Cost of
Incarceration Fee. Refer to the Program Statement on Cost of
Incarceration Fee.
5.13.2. Social Security Payments to Offenders
Both 42 U.S.C. § 402 and implementing language in 20 CFR 404.468
provide the following guidance on this issue:
Convicted felons are not entitled to receive Social Security
benefits for any part of any month of which the individual
is confined. For definitional purposes, confinement means
as long as the individual is under a sentence of confinement
and has not been released due to parole or pardon. It
should be noted that benefit payments to any other person
who is entitled on the basis of the prisoner's wages and
self-employment income are payable as though the prisoner
were receiving benefits.
The Social Security Administration has held that the regulation
means offenders are not entitled to benefits if they are
transferred from an institution to a CCC, home confinement, or
any other program if their sentences are still running and they
have not been released from custody.
Exception: Disability benefits may be allowed to individuals
participating in a vocational rehabilitation program that the
court and the Social Security Administration approves.
5.13.3. Employment
One of the most important purposes of CCC placement is employment
assistance. Contractors are to ensure that offenders begin
working as soon as possible and must assist those who need help
in finding employment. Most offenders are expected to be
employed within 15 working days of arrival at a CCC.
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CCMs must encourage contractors to develop programs that increase
privileges for pre-release component offenders who are employed.
It is generally appropriate for contractors to require offenders
to be employed before allowing them to be absent from the CCC for
social purposes. Contractors may take disciplinary sanctions
against offenders who are able, but unwilling, to hold
employment.
Bureau policy and the SOW require that employers be notified of
an inmate's legal status (that they have been convicted of a
federal offense). This policy applies to supervision (public
law) cases also, but such cases are under the jurisdiction of the
court or U.S. Parole Commission and probation officers may
determine that an exception is appropriate. CCMs must ensure
that contractors implement the policy in all other cases.
Notifications should be made prior to employment of the offender
if possible.
5.13.4. Authorized Absences
Contractors may allow a pre-release component inmate to "sign out"
from the CCC until evening curfew, and go on pass for weekends and
holidays. A furlough is required when the inmate
will be gone for more than a weekend (including holidays) and/or
the destination is more than 100 miles. Furloughs require USPO
comment (both in the district the inmate will be visiting as well
as where the CCC is located, if not the same), CCM approval, and
CIM clearance if appropriate. If repeated furloughs to the same
location are anticipated, a blanket USPO and CIM clearance may be
sufficient, with approval of the USPO and CIM coordinator.
Supervision cases are not eligible for furloughs. The USPO shall
approve absences other than "sign-out" or "pass".
5.13.5. Religious Activities
In meeting offenders' religious needs in CCCs, staff must
exercise flexibility. If possible, offenders should be allowed
uninterrupted practice of religion, as was exercised prior to
incarceration. Requests for religious activities should be
handled on a case-by-case basis. The regional chaplaincy
administrator should be contacted for guidance when there are
unusual requests or concerns.
5.13.6. Driving
Often it is appropriate to allow inmates to drive their own or
another person's vehicle to travel to work or for other
authorized purposes. Inmate requests for driving privileges are
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subject to contractor and CCM approval, under the following
conditions:
a. Public transportation is not available or its use would
be impractical considering time, distance, or cost.
b. The inmate has provided proof of driver's license,
vehicle licensing, registration, and valid insurance (if required
by the state) to the CCM via the contractor. The contractor
shall maintain copies of these documents (except for the driver's
license, which many states prohibit copying). The contractor
shall record the driver's license number and expiration date in
the inmate's file.
c. If the vehicle to be used is the property of a person
other than the inmate, the contractor must have verified proof
(e.g., copy of documents) of valid insurance, vehicle licensing
and registration for the car, and a signed authorization (either
notarized or witnessed by CCC staff) permitting the inmate to
drive the car.
d. The contractor shall maintain the license number and a
description of the vehicle on file.
e. Permission to drive for supervision cases must be
approved by the CCC Director and the USPO, and must be
appropriately documented.
f. The contractor shall use the form "Authorization To
Operate A Motor Vehicle" (Attachment 5-4) when an inmate is
applying for this privilege or a locally produced one which
contains, at a minimum, that information found on Attachment 5-3.
5.13.7. Marriage
Contractors shall refer committed inmates' requests for marriage
to CCMs, with their recommendations. The CCM shall process
marriage requests in accordance with the Program Statement on
Marriages of Inmates, which authorizes the CCM to approve
requests to marry of federal inmates housed in non-federal
facilities. Marriage requests of offenders under supervision
shall be forwarded to the USPO.
5.13.8. Electronic Communication Equipment
With the advancement of technology and the use of beepers and
cellular phones in the workplace, there is a need to monitor the
use of this equipment by CCC offenders. When CCC staff believes
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that it is essential for an offender to use a beeper or cellular
phone in their work, the following procedures shall be used:
a. Inmates shall make a written request to the CCC Director
stating the specific need for the equipment. The CCC Director
shall verify the need and forward the request for approval to the
CCM. A copy of the request (approved or disapproved) shall be
returned to the CCC Director, with a copy to the inmate's file.
b. For supervision cases, the CCC Director shall make the
request to the USPO seeking approval/guidance. A copy shall be
forwarded to the CCM for informational purposes. The USPO's
response shall be placed in the offender's contractor file and
reviewed during routine monitorings.
5.13.9. Use of Inmates in Investigations
Any person or agency requesting to use an inmate in any
investigation must be referred to the Office of Enforcement
Operations (OEO), Department of Justice, Washington DC for
approval, as these types of investigations are extremely
sensitive. Information and procedures regarding requests from
investigative agencies or U.S. Attorneys to use inmates under
Bureau jurisdiction may be found in the Special Investigative
Supervisors Manual, Chapter 17 - Investigative Requests. The CCM
shall contact the MCA or CCRA regarding information contained in
this Manual, or the Executive Assistant, Correctional Programs
Division, Central Office.
5.14. RELEASE PROCEDURES
CCMs shall ensure the timely release of inmates from contract
CCCs and contract jails or boarding facilities. CCMs must verify
release data, including credit for CCC good time. CCMs shall
calculate release dates for direct court commitments and date
changes for institution transfers if additional or forfeited good
time occurs. CCMs shall mail a copy of appropriate sentence
computation data to CCCs and boarding facilities of the inmate.
CCMs shall establish a system to monitor release dates and ensure
contract staff release inmates timely and accurately prepare
release paperwork.
The following schedules outline the steps and time limits
applicable to each type of release from confinement. Reference
shall also be made to the Inmate Systems Management Manual. CCMs
shall ensure that contract staff are aware of these schedules and
that contractors understand the different requirements for
release. It is Bureau practice to release inmates who are not
supervision cases on the work day preceding a Saturday, Sunday,
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or holiday if the release date falls on one of the days noted.
This practice also applies to releases on parole unless the
release date is the parole eligibility date.
5.14.1. Release Schedule
a. Parole. Six weeks prior to parole date, contract staff
submit a proposed parole plan to the USPO for investigation and
approval.
Four weeks prior to parole date, contract staff submit a request
for a parole certificate to the appropriate U.S. Parole
Commission office, with the USPO approval attached.
b. Mandatory Release. Four to six weeks prior to mandatory
release date, contract staff submit a proposed release plan to
the USPO (Mandatory Release Statement (Attachment 5-4d).
c. Supervision Cases. Contract staff submit release plans
to the USPO when they determine release is appropriate, based on
program progress or adjustment.
5.14.2. Release Forms and Report Distribution
Parole certificates are mailed or faxed from the U.S. Parole
Commission directly to the CCC. The community corrections Legal
Instruments Examiner shall ensure that the contractor lists the
number of days remaining to be served and that any special
conditions are noted on the reverse side of the parole
certificate prior to the inmate being released from the CCC. The
contractor shall mail the signed parole certificate to the CCM
for inclusion in the institutional file. See Attachments 5-5a
through 5-5f.
a. Parole
(1) Conditions of release are read to the inmate and
the inmate's signature (witnessed and dated by a staff member) is
obtained on each of the Parole Certificates and SPT Certificates,
when applicable. Each page of
the certificates is signed individually, in pen, and is not
carbonized. Release on Parole is not effective
without the inmate's signature. Copies are distributed
as follows:
(a) Original to inmate.
(b) Copy to USPO.
(c) "Institution Copy" to CCM.
(d) Copy to U.S. Parole Commission Office.
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(2) Notice of Release and Arrival - Distribute copies
as above, plus one copy to the U.S. Attorney's office in the
District of Sentencing.
b. Mandatory Release. Distribute copies of the appropriate
paperwork as noted in section "a" above.
c. Expiration.
(1) Notice of Release and Arrival - Distribute the
original to the USPO, with a copy to the CCM and to the U.S.
Attorney in the district of sentencing. The
inmate is advised if probation or special parole
supervision is to follow release.
Note: "New law" cases are released on the expiration
of their term less any time credited for applicable Good Conduct
Time (GCT). They are processed in accordance with
established procedures for cases released by expiration.
(2) Special Parole Term Certificates (if applicable) -
See distribution of Parole Certificates.
d. Supervision Cases. The contractor coordinates release
through the USPO and informs the CCM.
e. Terminal Reports
(1) The contractor prepares and forwards a Terminal
Report to the CCM. This is done after release from a
CCC within the time frame specified in the applicable Statement
of Work. See Attachment 5-5f as an example of a Terminal
Report.
(2) Distribution: Original to CCM for forwarding to
the institution file, copy to USPO, copy to U.S. Parole Commission
Office (if applicable).
5.14.3. Fines/Assessments (Old Law Cases)
A fine is a monetary penalty associated with an offense that is
imposed as a part of a judgment. The two types of fines are
committed and non-committed fines. See Attachments 5-6 and 5-7. A
committed fine is paid or other arrangements are made for the
handling of the fine prior to the inmate's release. A non-committed fine is one where the status of payment of the fine
would not affect the release date. See the Program Statement on
Fines and Costs.
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5.14.4. Fines/Assessments (New Law Cases)
Pursuant to Title 18 U.S.C. § 3624(e): "No prisoner shall be
released on supervision unless such prisoner agrees to adhere to
an installment schedule, not to exceed two years except in
special circumstances, to pay for any fine imposed for the
offense committed by such prisoner."
a. The court is required to impose an assessment on
convicted defendants for each felony and misdemeanor. The
assessment is imposed for each count (offense) in the Judgment in
a Criminal Case. Agents of the court collect the assessments.
b. The CCM shall indicate on the SENTRY Sentence
Computation Record the existence of assessments for direct court
commitments. The information is recorded only if it is contained
in the Judgment in a Criminal Case. Otherwise, it need not be
recorded and the CCM need not solicit the information from the
court.
c. The CCM ordinarily does not become involved with the
collection of assessments and is not required to determine
whether they have been paid. However, if the Judgment in a
Criminal Case for a direct court commitment indicates that the
assessment was not paid at sentencing, and that the court wants
it collected prior to release and provides no special
instructions, the unpaid assessment must be treated as a
committed fine. If the court, either in the Judgment in a
Criminal Case or by court order, requires that the fine be paid
by some other method that involves the Bureau, the CCM should
contact the Regional Inmate Systems Administrator for assistance.
5.14.5. Release Expenses
Inmates serving long sentences in non-federal facilities
(primarily in state correctional facilities and juvenile
facilities) may receive a release gratuity, transportation to the
place of conviction or legal residence, and clothing. An inmate
who has adequate personal funds or is released to another custody
should not usually receive a gratuity. Because of the nature of
the program, inmates released from contract residential centers
shall not normally receive release gratuities. See the Program
Statements on Release Gratuities, Transportation, and Clothing
and the Interagency Agreement between the U.S. Bureau of Prisons
and the U.S. Marshals Service.
a. The CCM shall determine the amount of the release
gratuity and clothing based on staff recommendations using a $100
limit as a base and seeking written approval from the CCRA
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through the MCA should they determine a gratuity in excess of
$100 is warranted. The Program Statement on Release Gratuities,
Transportation, and Clothing shall be referenced for guidance on
allowable amounts.
b. The CCM shall request the USMS to provide funds for
release gratuities, clothing, and transportation, if funds are
not available under the provisions of the contract with the non-federal facility (a gratuity clause should be included in the
contract whenever possible). The CCM must advise the USMS in
writing of an impending release date five days in advance to
allow time for this to be accomplished.
c. When the Bureau is "piggy-backing" a USMS contract, the
USMS will pay these expenses and the Bureau shall reimburse the
USMS. Otherwise, reimbursements are made directly to those
providers under contract directly with the Bureau. The USMS
office making the disbursement will forward the appropriate
standard form to the CCM. The CCM shall put this information on
a SF-1034 form (Public Voucher for Purchases and Services Other
Than Personal), sign it, and forward the SF 1034 to the regional
office for processing.
5.15 COST OF INCARCERATION FEE (COIF)
CCMs are responsible for complying with the Program Statement on
Cost of Incarceration Fee (COIF), which applies to prisoners who
are convicted in U.S. District Courts, committed to the custody
of the Attorney General, and serving a term of incarceration that
began on or after January 1, 1995. This includes aliens and
those confined to contract jails.
Note that the Cost of Incarceration Fee, which is imposed by the
Bureau, is distinct from the Cost of Incarceration Fine, which is
imposed by the courts. The Program Statement delineates the
differences between these obligations. At no time will both be
imposed on one inmate.
When appropriate, the CCM shall compute the fee, establish a
payment schedule in accordance with the COIF Program Statement,
and notify all direct court commitments under their jurisdiction
who owe a COIF using the appropriate COIF Program Statement
Attachment. Inmates who are institution transfers shall continue
the installment plans established by their unit teams. In the
case of an inmate owing a COIF who transfers to a CCC, the CCM is
notified of the COIF balance by regional correctional programs
staff immediately after they receive notification from the
institution. Institution notification must be forwarded no later
than two weeks prior to transfer.
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Inmates who fail to make COIF payments may be removed from the
CCC. When an inmate releases from a CCC with an outstanding
obligation, the CCM shall notify the regional comptroller, who
will process the bill in accordance with the Program Statement on
Accounting for Cost of Incarceration Fee.
Subsistence shall be waived for institution transfers whose COIF
payments are greater than or equal to subsistence. When COIF is
less than the calculated subsistence obligations, the difference
may be collected as subsistence. Direct court commitments with a
COIF are to have subsistence waived.
5.16. SEXUAL ABUSE/ASSAULT PREVENTION AND INTERVENTION
CCMs shall ensure that contractors have procedures in place to
prevent and address incidents of sexual abuse/assault. This
includes informing inmates, training contract staff, and
following correct reporting procedures. Specific requirements
are found in the most recent Community Corrections SOW. The
Program Statement on Sexual Abuse/Assault Prevention and
Intervention Programs can also be referenced.
5.16.1 Informing Inmates
Inmates transferring to a contract facility from a federal
institution have already been educated on preventing and avoiding
sexual abuse/assault. Contractors must provide this education to
all other federal inmates and document it in their files. All
inmates are to be advised during facility orientation who to
contact regarding incidents of sexual abuse/assault. These
requirements shall be reviewed during facility monitorings.
5.16.2 Training Contract Staff
All contractors are responsible for ensuring their staff are
trained in prevention, identification, and handling of sexual
abuse/assault incidents. This training shall be documented by
the contractor and reviewed during facility monitorings.
At a minimum, all inmates claiming to be the victim of a sexual
assault shall receive services addressing medical, mental health,
social, and protective needs.
5.16.3 Reporting Requirements
Contractors shall report all incidents of sexual assaults to the
CCM immediately. The CCM shall ensure that the contractor
notifies local law enforcement authorities and, in the case of
PS 7300.09
CN-2 5/19/99
Chapter 5, Page 40
staff assault on a resident, the Office of Internal Affairs shall
be notified. The SF-583, Report of Incident form, is to be
completed and routed for all reports of sexual assaults.
5.17. USE OF VOLUNTEERS IN COMMUNITY-BASED PROGRAMS
Contractors operating under a SOW later than 1992 are required to
use volunteers to assist inmates directly in their transition to
the community. All other contractors shall be encouraged to use
volunteers.
Volunteers are defined as private citizens who are at least 18
years old and provide gratuitous services to the facility.
Gratuitous services are those that are uncompensated and would
otherwise not be performed by a paid employee. Volunteers
reinforce mainstream societal values conveyed daily by staff
through service in programs addressing areas such as marriage and
family enrichment, substance abuse, education, literacy,
spiritual growth, recreation, health education, fitness, and
vocational training.
Volunteers who provide services under the direct supervision of
paid contract staff do not need security background clearances.
Those who provide services without supervision must complete the
Application for Volunteer Service (BP-S580.053) and Release of
Information (OMB 3206-0007) forms and have NCIC, NLETS, and
fingerprint checks. The contractor must forward this information
to the CCM for approval. Responses must be received from the
NCIC, NLETS, and fingerprint checks before approval can be
granted for unsupervised volunteers.
Further information and guidance regarding these procedures can
be received from the regional volunteer administrator.
PS 7300.09
CN-2 5/19/99
Attachment 5-1
CCM DESIGNATION LOG MONTH/YEAR
Name Jud. Reg # USM Dist. PSI PSI Des Des. Institution Comments
Req. Rec’d Req. Rec’d
PS 7300.09
CN-2 5/19/99
Attachment 5-1a
TRACKING JUVENILE DESIGNATIONS
Register
Name: Number:
City and State of Residence:
Designated Facility:
NOTE: Complete the following questions for all juveniles sentenced on
or after July 1, 1998. This will be completed when the juvenile is
first designated and every subsequent change of facility. A copy
shall be sent by WAN or FAX to the Central Office Community
Corrections Branch.
1) Is the juvenile a foreign national?
YES NO
2) If the answer to question #1 is no, is the juvenile designated to a
facility within 250 miles of the juvenile’s residence?
YES NO
3) If the answer to question #2 is no, please check one of the
following options:
a) There are no contract beds available within 250 miles
of the juvenile’s residence.
b) There are beds available within 250 miles of the
juvenile’s residence, but the security level is inappropriate.
c) There are beds available within 250 miles of the
juvenile’s residence, but programmatic needs require designation to
another facility.
d) There are beds available within 250 miles of the
juvenile’s residence, but the sentencing court recommended
another program.
e) There are beds available within 250 miles of the
juvenile’s residence, but other considerations require
designation to another facility. Please summarize:
.
CCM: DATE: .
PS 7300.09
1/12/98
Attachment 5-2, Page 1
Sample Teletype and EMS Formats
a. Sample teletype notice to USM of escape
b. EMS Form 907 - Community Corrections Escape Report
c. Sample teletype or memo to USM requesting inmate transfer to
closer custody.
d. EMS Form 908 - Community Corrections Apprehension Report
PS 7300.09
1/12/98
Attachment 5-2, Page 2
Sample Teletype Notice to USM of Escape
TO: United States Marshal, (insert District, City, State)
FROM: Community Corrections Manager
CC: United States Marshals Service, Washington, D. C.
ATTN: Enforcement Operations Division
RE: Escaped Federal Prisoner.
This is your authority to apprehend the below named
Federal prisoner.
Name: Reg. No.:
Institution/Contract Location: FBI No.:
Date of Escape: Time (am or pm):
Sentence Date: Sentence:
Offense: Release Date:
Circumstances:
PS 7300.09
1/12/98
Attachment 5-2, Page 3
073 COMMUNITY CORRECTIONS ESCAPE REPORT CDFRM SENTRY EMS FEB
97
U.S. DEPARTMENT OF JUSTICE FEDERAL BUREAU OF PRISONS
&&&&&&&&&&&&&&&&&&&&&&&&&&&&&&&&&&&&&&&&&&&&&&&&&&&&&&&&&&&&&&&&&&&&&&&&&&&
Name of Reporting Official T Title T Office
T Date Submitted
* *
*
* *
*
S)))))))))))))))))))))))))))))))))))))))))))3))))))))))))))))))))))))3)))))
)))))))0))))))))))))3)))))))))))))))))))))))))Q
Name of Inmate * Reg. No. *Race
* Date of Birth
* *
*
* *
*
S)))))))))))))))))))))))))))))))))))))))))))2))))))))))))))))))))))))2)))))
)))))))2)0))))))))))2)))))))))))))))))))))))))Q
*Date and Time of Escape
Escape from Custody or Escape due to Community Arrest.
/))))))))))))))))))))))))))))))))))))Q
*Date and Time USMS Notified
If Community Arrest: New Criminal behavior Old Criminal behavio
S))))))))))))))))))))))))))))))))))))))))))))))))))))))))))))))))))))))))0)
)))))))))2))))))))))))))))))))))))))))))))))))Q
Sentence *Date I
*
* S))))))))))))))))))))))))))))))))))))))))))))))))))))))))))))))))))))))))2)
))))))))))))))))))))))))))))))))))))))))))))))Q Offense
PS 7300.09
1/12/98
Attachment 5-2, Page 4
S)))))))))))))))))))))))))))))))))))))))))))0)))))))))))))))))))))))0))))))
))))))))))))))))))))))))))))))))))))))))))))))Q
Security Level *Custody *Public Safe
Factors:
* * Yes
No
S)))))))))))))))))))))))))))))))))))))))))))2)))))))))))))))))))))))2))))))
))))))))))))))))))))))))))))))))))))))))))))))Q CIMS
Category:
N/A Separation Disr. Group State
Other (Specify)
S))))))))))))))))))))))))))))))))))))))))))))))))))))))))0)))))))))))))))))
))))))))))))))))))))))))))))))))))))))))))))))Q
Institution Transferred From *Direct CRT Commitment:
*
*
Yes No
S))))))))))))))))))))))))))))))0)))))))))))))))))))))))))2))))))))))))0))))
))))))))))))))))))))))))))))))))))))))))))))))Q
Arrival Date *Projected Release Date *Method of
Release
* *
S))))))))))))))))))))))))))))))2))))))))))))0)))))))))))))))))))))))))2))))
))))))))))))))))))))))))))))))))))))))))))))))Q
Escape or Technical Escape Occurred * Address of Facility
From (Loc. Code): *
*
* S)))))))))))))))))))))))))))))))))))))))))))2))))))))))))))))))))))))))))))
))))))))))))))))))))))))))))))))))))))))))))))Q
Type of Facility:
CCC Juv. Long-Term Adult
Short-Term Adult
PS 7300.09
1/12/98
Attachment 5-2, Page 5
S))))))))))))))))))))))))))))))))))))))))))))))))))))))))))))))))))))))))))
))))))))))))))))))))))))))))))))))))))))))))))Q Program
Participation:
Home Conf. ICC 3621 (e)
(Specify)
S))))))))))))))))))))))))))))))))))))))))))))))))))))))))))))))))))))))))))
))))))))))))))))))))))))))))))))))))))))))))))Q
Circumstances (use additional pages as needed) - Include background information offender,
offense, and special management concerns not detailed in PPGO, along w details of the escape.
S))))))))))))))))))))))))))))))))))))))))))))))))))))))))))))))))))))))))))
))))))))))))))))))))))))))))))))))))))))))))))Q
Routing: REGION CEO; REGION CORRECTIONAL SERVICES; CCRA; MCA; BOP CC ESCAPE; PA SENDING
INSTITUTION ISM; SENDING
INSTITUTION CEO; BOP COMMUNITY CORRECTIONS; BOP CORRECTIONAL SERVICES.
S))))))))))))))))))))))))))))))))))))))))))))))))))))))))))))))))))))))))))
))))))))))))))))))))))))))))))))))))))))))))))Q
Record Copy: Inmate Central File (This form may be replicated via WP)
PS 7300.09
1/12/98
Attachment 5-2, Page 6
Sample Teletype or Memo to U.S. Marshal Requesting Inmate
Transfer to Closer Custody
TO: United States Marshal (District)
FROM: Community Corrections Manager
RE: Inmate Name and Register Number
This will serve as your authority to assume custody of the above
BOP inmate, pending disciplinary action and/or determination of
future removal.
Present Location:
Designated local detention facility:
The BOP assumes fiscal responsibility for this inmate as long as
he/she is located at the designated local detention facility or
another facility approved by the CCM.
Comments:
PS 7300.09
10/28/04
Attachment 5-4, Page 1
EMS-908.073 COMMUNITY CORRECTIONS APPREHENSION REPORT CDFRM SENTRY EMS FEB 97
U.S. DEPARTMENT OF JUSTICE FEDERAL BUREAU OF PRISONS
&&&&&&&&&&&&&&&&&&&&&&&&&&&&&&&&&&&&&&&&&&&&&&&&&&&&&&&&&&&&&&&&&&&&&&&&&&&
Community Corrections Office T Region
* S))))))))))))))))))))))))))))))))))))))))2)))))0)))))))))))))))))))))))))Q To:
(Regional Director) *Date Submitted
* S))))))))))))))))))))))))))))))))))))))))))))))2)))))))))))))))))))))))))Q From:
(Name and Title)
S)))))))))))))))))))))))))))))))))))0)))))))))))))))))))))0))))))))))))))Q
Name of Inmate * Register Number *Date of Birth
* *
S)))))))))))))))))))))))))))))))))))2)))))))))))))))))))))2))))))))))))))Q Type of
Escape:
From Custody Technical Escape (Arrest)
S)))))))))))))))))))))))))))))))))))))))))))))))0))))))))))))))))))))))))Q
Date of Apprehension or Return to BOP Custody *Time of Apprehension
* S)))))))))))))))))))))))))))))))))))))))))))))))2))))))))))))))))))))))))Q
Apprehended by:
S))))))))))))))))))))))))))))))))))))))))))))))))))))))))))))))))))))))))Q
Present Location
S))))))))))))))))))))))))))))))))))))))))))))))))))))))))))))))))))))))))Q
Escape or Technical Escape occurred from (Loc. Code):
Facility Name and Address:
Type of Facility: CCC Long-Term Adult
Home Confinement Short-Term Adult
Date of Escape:
Juvenile Other (Specify)
CCM Office SENTRY Code that originally reported Escape:
S))))))))))))))))))))))))))))))))))))))))))))))))))))))))))))))))))))))))Q U.S.M.
Notified: (If applicable)
Yes No;
If Yes, Date of Notification: Time:
S))))))))))))))))))))))))))))))))))))))))))))))))))))))))))))))))))))))))Q
Circumstances (Use additional pages as needed):
S))))))))))))))))))))))))))))))))))))))))))))))))))))))))))))))))))))))))Q
Routing: Region CEO; Region Corr. Serv.; Regional CCRA; MCA; PAR CEO; BOP Comm. Corr.; BOP Corr.Svc.; Sending (Parent)
Institution CEO and ISM; CCM's Office reporting original Escape.
Copy-Central File (This form may be replicated via WP)
PS 7300.09
10/28/04
Attachment 5-4, Page 1
AUTHORIZATION TO OPERATE A MOTOR VEHICLE
Name: Reg. No.
Facility:
Driver's License: # State Exp Date:
License Address
Vehicle: Year Make Model
Color License Plate #
Registration # Exp. Date.
Registered Owner: Name Phone #
Address
Insurance Co. Name Policy Exp. Date
Facility Staff Review:
Copies of required documents on file (ie. insurance and
owner approval)
Car checked for absence of beeper/cellular phone
Resident understands rules and the right of CCC staff and
BOP personnel to search the vehicle at any time
Public transportation not practical
Resident Signature Case Manager or Other
CCC Director approval
*****************************************************************
Approved Disapproved
Comments
Community Corrections Manager Date
PS 7300.09
1/12/98
Attachment 5-5, Page 1
RELEASE FORMS
a. Certificate of Parole
b. Parole Form I-33¹
c. Drug/Alcohol Program Consent Form
d. Mandatory Release Statement; Parole Form I-10
e. Notice of Release and Arrival; Parole Form I-13
f. Program Terminal Report
¹ Parole Form I-33 is a multi-purpose release certificate that
includes release provisions for:
(1) Court Designate Parole
(2) Mandatory Release
(3) Special Parole
(4) Mandatory Release to Special Parole
* Note: Forms in Attachment 5-5 are not available
electronically or on BOPDOCS
PS 7300.09
10/28/04
Attachment 5-6, Page 1
COMMITTED FINE TRANSFERS TO NON-FEDERAL FACILITIES
Community Corrections Managers (CCMs) have responsibility for
inmates transferred to contract community-based facilities and to
state institutions as boarders. Regional Inmate Systems
Administrators (RISAs) have responsibility for inmates
transferred to state institutions for service of Federal
sentences concurrently with state sentences.
If an inmate has six months or more remaining to the release date
on the day the transfer takes place, the instructions in Appendix
2, Committed Fine Direct Commitments or Designations to Non-Federal Facilities, in the Program Statement on Fines and Costs
shall apply. (Also see Attachment 5-7 of this Community
Corrections Manual). If less than six months remain, the
transferring institution shall complete the following steps prior
to the transfer:
a. Assist the inmate in completing the Financial Statement
of Debtor.
b. Assist the inmate in completing the Application for a
Determination of Ability to Pay Committed Fine and/or Costs
portion of the BP-401 (58)/BP-RECORD-101.
c. The BP-395(58)/BP-RECORD-90 shall be completed and
forwarded to the appropriate U.S. Attorneys along with the other
forms mentioned above prior to the inmate's departure.
d. If the institution has any problems complying with
these instructions, the ISM must explain the problems in a
memorandum to the CCM or RISA so they will be aware of the
status of the fine processing after the inmate has been
transferred.
Before the inmate submits the BP-401(58)/BP-RECORD-101 to the
U.S. Magistrate, the CCM or RISA must review the inmate's
financial status based on the same information a warden would
use. Based on the review, the CCM or RISA should form an opinion
as to the inmate's indigency status and furnish that opinion and
the reasons to the U.S. Magistrate in a memorandum. Accompanying
the memorandum shall be the BP-401(58)/BP-RECORD-101, the
Financial Statement of Debtor, the Sentence Data Record, the pre
or post sentence report, and copies of any other documentation or
information used in arriving at the opinion. The package must be
sent to the U.S. Magistrate no later than 21 calendar days prior
to the release date.
PS 7300.09
10/28/04
Attachment 5-6, Page 2
The CCM and RISA should make every effort possible to acquire
information about the inmate's financial status from the U.S.
Attorney of the sentencing district.
If the U.S. Magistrate makes a finding of indigency, and allows
the inmate to take the Oath of Indigent Prisoner, the inmate
shall be released on the date specified by the U.S. Magistrate.
The CCM or RISA is responsible for assuring the inmate makes all
appearances before the U.S. Magistrate that he/she may require.
If the U.S. Magistrate makes a finding of non-indigency, the CCM
or RISA shall follow the procedures as set forth in Section 9 of
the governing Program Statement on Fines and Costs.
PS 7300.09
10/28/04
Attachment 5-7, Page 1
COMMITTED FINE DIRECT COURT COMMITMENTS OR
DESIGNATIONS OF NON-FEDERAL FACILITIES
Community Corrections Managers (CCMs) have responsibility for
inmates committed directly from court to contract community-based
facilities and to state institutions as boarders. Regional
Inmate Systems Administrators (RISAs) have responsibility for
inmates placed in state institutions for service of Federal
sentences concurrently with state sentences.
Since this group of inmates is not committed to Federal
institutions prior to commitment to non-Federal facilities, the
CCM or RISA must initiate and follow through on all the
procedures for processing the committed fine. Therefore, the
instructions in Section 5 of the Program Statement on Fines and
Costs must be carefully followed.
Before the inmate submits the BP-401(58)/BP-RECORD-101 to the
U.S. Magistrate, the CCM or RISA must review the inmate's
financial status based on the same information a warden would
use. Based on the review, the CCM or RISA should form an opinion
as to the inmate's indigency status and furnish that opinion and
the reasons to the U.S. Magistrate in a memorandum. Accompanying
the memorandum shall be the BP-RECORD-101, the Financial
Statement of Debtor, the Sentence Data Record, the pre or post
sentence report, and copies of any other documentation or
information used in arriving at the opinion. The package must be
sent to the U.S Magistrate no later than twenty-one calendar days
prior to the release date.
The CCM and RISA should make every effort possible to acquire
information about the inmate's financial status from the U.S.
Attorney of the sentencing district. If the U.S. Magistrate
makes a finding of indigency, and allows the inmate to take the
Oath of Indigent Prisoner, the inmate shall be released on the
date specified by the U.S. Magistrate.
The CCM or RISA is responsible for assuring the inmate makes all
appearances before the U.S. Magistrate that he/she may require.
If the U.S. Magistrate makes a finding of non-indigency, the CCM
or RISA shall follow the procedures as set forth in Section 9 of
the governing Program Statement on Fines and Costs.
PS 7300.09
CN-2 5/19/99
Chapter 6, Page 1
CHAPTER 6. INMATE AND INFORMATION SYSTEMS MANAGEMENT
Community corrections staff are responsible for administering
inmate systems and information systems procedures that are
relevant to inmates in non-federal contract facilities.
Many of the procedures which apply to community corrections
operations are found in the Inmate Systems Management Manual and
Sentence Computation Manuals (Old Law and CCCA of 1984] as well
as the Technical Reference Manuals on SENTRY General Use, SENTRY
Education, and SENTRY Sentence Monitoring. Staff shall use these
manuals and the Community Corrections Technical Reference Manual
(TRM) for general instruction.
Certain procedures may require modification for community
corrections application, and others may not be relevant at all.
Central Office Inmate Systems and Community Corrections
Administrators and Information Systems staff shall make
interpretations or modifications in procedures when necessary.
CCMs must establish and maintain official records for federal
offenders in contract facilities. Such records, including SENTRY
information, are considered confidential and are protected within
the scope of the Privacy Act and Freedom of Information Act. See
the Program Statement on Release of Information.
6.1. FILE MAINTENANCE AND DISPOSAL
It is Bureau policy to maintain records for all offenders
committed to the custody of the Attorney General and the Bureau.
CCMs shall use files to record all aspects of an offender's
confinement in the contract location for service of sentence or
as a condition of supervision. The Inmate Systems Management
Manual contains instructions for Judgement and Commitment file
creation, maintenance and disposal. The Program Statement on
Central File, Privacy Folder, and Parole Mini-Files contains
instructions for file creation, maintenance, and security.
6.1.1. Direct Court Commitments
Direct court commitments are cases when a U.S. District Court
Judge or Magistrate Judge has imposed a short sentence of
confinement with the recommendation that it be served in a
contract CCC or a jail-type location. Condition of supervision
cases and supervision violators are included in this definition.
CCC staff must receive approval from the regional director when
considering these cases for CCC placement. The required legal
document for detainees is the certified Judgment and Commitment
PS 7300.09
CN-2 5/19/99
Chapter 6, Page 2
Order (J&C). The CCM must ensure that contract staff execute the
return of service on the J&C for each voluntary surrender case.
The U.S. Marshals will normally execute the return of service for
offenders in jail-type locations; however, CCMs must ensure the
requirement has been completed. (Title 18 U.S.C. §§ 4084 and
3621(c)). See the Inmate Systems Management Manual.
After the J&C, return of service is executed, certified copies of
the J&C are mailed to the U.S. Marshal in the sentencing district
and the Community Corrections Office. The contractor must have
an executed copy on file.
In accordance with the Program Statement, FBI Forms, Submission to
the FBI, the CCM shall ensure that a full set of fingerprints is
taken and submitted to the FBI for all commitments for service of
sentence. The CCM shall determine whether a facility shall
send the cards directly to the FBI or send them through the CCM.
A print card shall also be forwarded to the CCM for placement in
the J&C file. This shall be completed within the first five
working days after arrival.
A standard six-position or two-position file shall be used. If a
two-position file is used, the first three sections are placed on
the left and the second three on the right side of the file. The
Inmate Systems Management Manual requires that a J&C file be
established for each sentenced inmate. The J&C file contains the
documentation for the legal authority for the detention and
custody of prisoners. The file created and maintained by
community corrections for direct court commitments serves as a
J&C file and the central file and must contain all documents and
forms as set forth in the Inmate Systems Management Manual.
Files shall normally consist of:
a. Source - U.S. Marshal:
e Request for Designation (Teletype or Memorandum). e
Executed and certified copy of Judgment and Commitment Order.
e USM-129 Detention Record.
e Voluntary Surrender Order.
e BP-S385 "Authorized Unescorted Commitment and Transfer"
Identification Card, including a picture and a thumbprint.
b. Source - U.S. Probation:
e Pre-Sentence Report.
e Other Reports and Correspondence.
PS 7300.09
CN-2 5/19/99
Chapter 6, Page 3
c. Source - Contractor:
e Documentation of Acceptance.
e Record of Medical Examination (if a CCC is
designated).
e Terminal Report.
d. Source - Community Corrections Manager:
e Designation Teletype or Memorandum or SENTRY
printout.
e Sentence Monitoring Computation and Good Time Record
(SENTRY).
e Sentence Monitoring Update Computation Satisfaction
Release Certification (SENTRY). e Inmate Discipline
Record.
e A sentence audit conducted in accordance with the
requirements of the Inmate Systems Management Manual.
After an offender's release, files are maintained in the CCM
office until shipped to a Federal Records Center. Shipments
should occur at least annually, or more frequently if volume
warrants. The schedule for returning and shipping files is set
forth in the Inmate Systems Management Manual.
The CCM should contact regional inmate systems specialists or
administrators for assistance when required. A well-organized
method for record retention and disposal is critical to
facilitate retrieval if re-incarceration occurs.
6.1.2. Condition of Supervision Placements (Public Law/Old Law
Cases)
Pursuant to the Provisions of 18 U.S.C. §§ 3651 and 4209,
Offenders Under Probation, Parole, or Mandatory Release
Supervision may be referred for CCC placement (commonly referred
to as public law cases).
The legal document required for probationers is an order issued
by the U.S. District Court Judge mandating residence in a CCC as
a condition of probation. This may be set forth on the original
J&C, or may be a modification order during the period of
probation. A copy of the J&C shall suffice. However, if there
is any doubt regarding the accuracy or authenticity of the court
order, the order shall be verified with the appropriate
authority.
The legal document for Parole and Mandatory Release supervision
cases is the U.S. Parole Commission Notice of Action (NOA)
PS 7300.09
CN-2 5/19/99
Chapter 6, Page 4
mandating residence in a CCC. A parolee may be placed in a CCC
without the NOA on an emergency basis for up to four days,
provided they consent in writing to such placement (Parole
Commission Manual). A NOA shall be required for placement in
excess of four days. The CCM shall document the efforts to
obtain a NOA if it has not been received within four days.
The CCM must ensure the designated contractor has a copy of the
legal document stipulating CCC residence prior to placement.
A two-position file folder should be used and shall normally
consist of:
a. Source - U.S. Probation, District of Supervision:
e Copy of the Judgment and Probation/Commitment Order or
Modification Order.
e Pre-Sentence Investigation Report.
e U.S. Probation Program Plan.
b. Source - U.S. Parole Commission:
e U.S. Parole Commission Notice of Action Mandating
CCC Residence.
c. Source - Contractor:
e Record of Medical Examination (if a CCC is
designated).
e Documentation of Acceptance and Terminal Report.
d. Source - CCM
e SENTRY Sentence Computation.
After release, the CCC generated file shall be combined with the
CCM two-part file. Files for probation and for conditions of
parole/mandatory release shall be mailed to the supervising USPO
unless the Chief USPO indicates in writing that the file is not
required.
6.1.3. Community Confinement (Sentencing Reform Act)
Pursuant to the provisions of 18 U.S.C. §§ 3563(b) and 3624(e),
Offenders, as Further Conditions of a Sentence of Probation or
Supervised Release, may be referred for placement in a CCC.
The CCM must ensure the designated contractor has a copy of the
legal document stipulating confinement in the facility. The
PS 7300.09
CN-2 5/19/99
Chapter 6, Page 5
legal document required for probationers is an order issued by
the U.S. District Court Judge mandating residence in a CCC. This
may be set forth on the original J&C, or may be a modification
order during the period of probation supervision. A copy of the
J&C shall suffice. However, if there is any doubt regarding the
accuracy or authenticity of the court order, a phone call to the
appropriate authority is to be made.
A two-position file folder should be used and shall normally
consist of:
a. Source - U.S. Probation, District of Supervision:
e Copy of the Judgment and Probation/Commitment Order.
e Pre-Sentence Report.
e U.S. Probation Progress Plan.
b. Source - Designated Contractor:
e Record of Medical Examination (if a CCC is
designated).
e Documentation of Acceptance and Terminal Report.
c. Source - CCM:
e SENTRY Sentence Computation.
After release, the CCC-generated file shall be combined with the
CCM two-part file. Files for Community Confinement cases are
mailed to the referring USPO unless the Chief USPO has informed
the CCM in writing that the file is not required.
6.1.4. Intermittent Confinement (Sentencing Reform Act)
Pursuant to the provisions of 18 U.S.C. § 3563(b), Offenders, as
Further Conditions of a Sentence of Probation, may be sentenced
to "Intermittent Confinement." Such commitment requires the
offender, during the first year of probation, to remain in Bureau
custody during nights, weekends, or other intervals, no more than
the lesser of one year or the authorized term of imprisonment for
the offense. Normally, confinement will be in a detention/jail-type facility.
The CCM must ensure the designated contractor has a copy of the
legal document stipulating "Intermittent Confinement" and
specifying when confinement shall occur. The contractor shall
execute these J&Cs in the same way as for any other Bureau
commitment.
A two-position file folder should be used and shall normally
PS 7300.09
CN-2 5/19/99
Chapter 6, Page 6
consist of:
a. Source - U.S. Marshal, District of Supervision:
e Certified copy of the Judgment and
Probation/Commitment Order.
e Designation Request.
e Pre-Sentence Report (when available).
e U.S. Probation Program Plan.
b. Source - Contractor:
e Record of Medical Examination (if a CCC is
designated).
e Documentation of Acceptance and Terminal Report.
c. Source - U.S. Marshal:
e Request for designation. d. Source
- CCM:
e SENTRY Sentence Computation.
After release, the CCC-generated file shall be combined with the
CCM two-part file. Files for intermittent confinement cases are
archived in the same manner as direct court commitments.
6.1.5. Institution Transfers
The CCC referral and transfer process is in the Program Statement
on CCC Utilization and Transfer Procedures.
A two or six-position file folder is used and shall normally
consist of:
a. Source - Institution of Confinement:
e Institution Referral Packet.
e Copy of Release Documents.
e Unescorted furlough with travel schedule (should be received
in advance).
e Transfer Order (executed by Contractor).
e BP-S385 "Authorized Unescorted Commitments and Transfers"
Identification Card (one copy received by the CCC prior to the
inmate's transfer to the CCC and returned to the CCM executed
with the inmate's thumbprint).
b. Source - Contractor:
PS 7300.09
CN-2 5/19/99
Chapter 6, Page 7
e Documentation of Acceptance.
e Original Correspondence Generated during
Confinement.
e Terminal Report.
c. Source - Community Corrections Manager:
e Original Documents and Correspondence Generated during
Confinement.
e Sentence Monitoring Update Computation Satisfaction
Release Certification (SENTRY).
After release processing is complete, community corrections staff
shall purge the file of all materials that are already in the
inmate central file. Within 21 working days following an
inmate's release, the CCM shall mail the file, with completed
release paperwork, to the referring institution's ISM.
6.2. INMATE FILE ACCOUNTABILITY AND SECURITY
Community corrections offices are located in the community rather
than in an institution where there is substantially less risk of
file security compromise. Therefore, the file security
procedures set forth in the Program Statement on Central File,
Privacy Folders and Parole Commission Mini-Files do not apply.
Inmate file security, however, must remain a high priority due to
the sensitive nature of the content - PSR's, CIM information,
etc.
The following security procedures are required:
6.2.1. Active files must be maintained in locked, fireproof
cabinets.
6.2.2. The CCM shall ensure that a file is maintained for all
offenders under his or her control. This file shall be the only
vehicle for storing material during the offender's confinement in
the contract facility.
6.2.3. Files shall never be left unattended or handled in such
a way as to be accessible to unauthorized persons.
6.2.4. Files or file material are not to be removed from CCM
offices unless authorized by the CCM. "Out-guides" are to be
used whenever a file is removed from the office.
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6.2.5. Requests by any agency outside the Bureau for any
inmate file, active or inactive, are to be referred to the
appropriate Regional Counsel for a decision. The MCA and CCRA
may implement additional inmate file security and accountability
measures as warranted by the office location and structure.
6.3. SENTRY APPLICATIONS
SENTRY is an invaluable management tool at all levels. It provides
statistical population data for budgetary decisions at the
regional and national levels and aids in contractor bill
verification locally. SENTRY information may also be used to
identify the particular phase of a program in which an inmate is
participating. It cannot be emphasized enough to keep the data
updated as this information is only valuable if it is current and
accurate.
Assignments designed for community corrections are described in
the Community Corrections TRM. Other important functions are
found in the SENTRY General Use TRM. A few standard applications
are discussed below:
6.3.1. Location Code
There shall be a separate IIS Location Identifier Code (LOC CODE)
for each contract location. All offenders admitted to contract
locations shall receive a location assignment (LOC) (e.g., 4XW).
This includes INS parolees. When an inmate who has been
temporarily released from a facility is readmitted, SENTRY will
readmit them to the previous location assignment. These codes
are created through the ADP contract information procedures. See
Chapter 4 and Attachment 4-17 for additional information.
6.3.2. Inmate Movement
Admissions, releases, and status changes (e.g.,transfer to home
confinement) must be updated the day the activity occurs, or the
next work day if occurring after normal business hours.
6.3.3. Admission and Release Codes
Admission and release codes are standard and listed in the SENTRY
General Use TRM, Part 2, Code Tables, as ARS category codes.
Codes specific to community corrections may be found in the
Community Corrections TRM. Admission and release codes should
coincide with the type of activity and correspond with
appropriate COM assignments.
All INS parolees admitted to contract locations shall have the
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ARS assignment A-INS. All INS commitments have the community
corrections (COM) assignment of "CUBAN" indicating a Mariel Cuban
offender whose INS parolee status requires placement in a CCC.
The SENTRY release code "INS REMOVE" is always used for INS
parolees released from contract facilities.
CCMs must ensure support staff understand what codes to use and
how to interpret them correctly.
6.3.4. Escape Codes
The SENTRY release code ESCAPE is used for an escape from custody.
The codes ESC TECH N and ESC TECH O are used for
technical escapes, where the N stands for new criminal behavior
and the O for old criminal behavior. For example, if an inmate
attempts to obtain a driver's license (a legal activity) and the
name check reveals an old warrant for which he or she is arrested
and jailed, this is ESC TECH O. On the other hand, if the inmate
is stopped for speeding and an old warrant is located so he or
she is jailed, this is ESC TECH N, since speeding is a new
illegal activity.
6.3.5. Home Confinement Transfer
When an inmate is placed on home confinement, the ARS status is
changed. However, transfer orders are required only when the
inmate moves to a different location ("LOC"). Examples of when
it is required include transfer from a contractor that does not
provide the service to one that does or to U.S. Probation's home
confinement program. Then, the inmate is to be transferred from
the current "LOC" and admitted to the new "LOC" - this changes
the "ARS Date." The inmate's WLS assignments should be checked
before the transfer transaction, as these will have to be
reentered using the SENTRY “Update Inmate Assignment”
transaction.
6.3.6. COM Category
Community corrections field staff shall ensure that the SENTRY
COM category is complete and accurate. Assignments related to
type of commitment, aftercare needs of the offender, CCC denial
category, ICC, CSC, Juvenile, and MINT are described in the
Community Corrections TRM.
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6.3.7 Community Transitional Drug Abuse Treatment (TDAT)
The CCRA shall determine which staff (CCM or TDAT Coordinator)
are responsible for loading the SENTRY assignments for inmates in
TDAT. Refer to the Program Statement on Community Transitional
Drug Abuse Treatment and the Community Corrections TRM for
further direction on these assignments.
6.3.8. SENTRY Monitoring Data
The SENTRY "General Census/Roster Display" transaction may be used
in a variety of ways to monitor offenders, case management
activity data accuracy, and administrative status. Also, the
Contract Location Profile System (CLP) provides data for
monitoring contract activities and staff must update it each time
some action - inspection, suspension, new contract, etc. - is
taken on a contract. CCMs, MCAs, and CCRAs must be familiar with
the details of these and other SENTRY transactions to provide
proper management oversight of these activities.
The Community Corrections TRM provides samples of SENTRY
transactions as examples of monitoring techniques used to ensure
the accuracy of SENTRY data during monthly SENTRY monitorings
conducted by CCRAs. Accurate data is important in the
development of new community corrections initiatives, long range
planning, and in the identification of internal weaknesses.
6.4. SENTRY SENTENCE MONITORING APPLICATIONS
Sentence computation is the mathematical method of determining
release dates, parole eligibility dates, etc., for offenders
serving sentences. SENTRY sentence modules have been automated to
the extent that, except for complex computations, the Legal
Instruments Examiner need only key accurate data to obtain
correct results. CCM's must ensure an accurate computation data
record is in SENTRY and on file for all offenders under their
responsibility. Reference the SENTRY Sentence Monitoring TRM.
6.4.1. SENTRY Sentence Computation Procedure for Direct Court
Commitments, Condition of Supervision Cases, and Supervision
Violators.
a. Prior to calculation of any sentence, computation data
and documents must be assembled and reviewed. The necessary
information and documentation includes but is not limited to the
J&C Order, USM-129 Detention Record, and the PSI. If the inmate
was in a federal pretrial facility, the SENTRY ARS history should
also be reviewed. For violators, prior sentence computations
must be reviewed to identify any over-served time which is
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creditable toward the new term.
b. After review of computation data, the sentence should be
computed using the sentence monitoring computation transactions.
The regional inmate systems specialist or administrator should be
consulted for assistance on complex computations (i.e., long-term
boarders and juveniles).
c. An audit for accuracy is conducted after the computation
is completed. The original paper copy, a SENTRY printout, shall
be placed in the inmate's file, and copies shall be sent to the
contractor, inmate, and U.S. Parole Commission, if applicable.
The official computation in the file must be signed and dated by
the individual completing it and the staff member performing the
audit. See the Inmate Systems Management Manual. Documentation
of distribution of copies is to be maintained in the file.
d. The sentence computation must be completed within the
time frames specified in the Inmate Systems Management Manual.
The amount of jail credit must be reviewed immediately upon
placement to ensure that a late release does not occur.
6.4.2. Sentence Computation Data Review for Institution
Transfers
a. The institution Inmate Systems Manager shall perform a
full audit of the sentence computation comparable to a release
audit prior to an inmate’s transfer to a CCC. However, the
SENTRY sentence computation record for all institution transfers
shall be reviewed upon arrival to ensure that:
e the computation is complete;
e CCC good time (if applicable) earning status is
correct;
e no committed fines or costs have been overlooked;
and
e there are no outstanding disciplinary actions.
The file must be documented to show that these items were
checked.
b. A transfer audit as described in the Inmate Systems
Management Manual is to be completed for long-term boarders
transferring from federal institutions or to another CCM office’s
responsibility.
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6.4.3. Sentence Computation Data for Supervision Cases
The sentence monitoring module shall be used to calculate and
provide a paper copy computation data record for supervision
cases. This will provide release data and allow automatic
retrieval of release data rosters from SENTRY along with data for
inmates serving sentences. This process is now mandatory for all
supervision cases. Release dates are to be tracked using the
sentence monitoring module or the SENTRY “Population Monitoring
Census/Roster Generalized Retrieval” transaction.
6.4.4. Sentence Computation for Probation or Supervised
Release Violators
The original file should be requested from the releasing
institution and combined with the violator file for all
supervised release violators committed directly to a CCC or local
jail. The original sentence computation for supervised release
violators must be reviewed for over-served time. Sentences are
computed in accordance with the Sentence Computation Manuals (Old
Law and CCCA 1984).
6.4.5. Good Time Actions - Disciplinary Process
a. The "Sentence Monitoring Status/Update Statutory Good
Time" transaction should be used to determine how much SGT is
available for forfeiture based on the severity and frequency of
the Prohibited Act.
b. After the amount that can be forfeited is determined,
the same transaction, the Sentence Monitoring Status/Update
Statutory Good Time, shall be used to forfeit the SGT and
automatically calculate the sentence. The appropriate contractor
shall be advised of the new projected release date.
c. The CCM must document SGT forfeiture on the Statutory
Good Time Action Notice form (BP-S389), place it in the inmate's
file, and record it appropriately in SENTRY. (The CCM signs as
IDC chair.)
d. When the DHO sanction is received, the disallowance is
to be keyed into SENTRY immediately and the sentence recalculated
for a new release date. The disallowance/forfeiture of Good
Conduct Time shall be documented on the Good Conduct Time Action
Notice (BP-S448), and placed in the inmate's file. The SENTRY
“Inmate Discipline Data Record” shall be used to document any
institution actions.
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e. If the offender is still in a contract location, release
documents must be updated to reflect the revised release date and
the inmate and contractor must be notified.
f. If an inmate is placed in custody at a federal
institution prior to the Statutory Good Time or Good Conduct Time
action, the ISM at both the holding and designated institutions
must be notified that the computation requires an update. This
notification must be written (BOPNet is appropriate) indicating
how much time was forfeited or disallowed and what the new
release date will be. If the release date is near, the
notification and follow-up (mailed documentation) must be prompt.
6.4.6. Sentence Satisfaction Procedures
a. Before an offender has completed the term of
incarceration and has been released from custody, the SENTRY
Sentence Computation must be updated using the sentence
satisfaction transaction. The inmate shall then be released in
SENTRY. If the statutory release date and actual release date
are not the same, the computation remarks should be updated to
explain the difference.
b. After the computation has been satisfied, and the prior
commitment transaction has been completed, a copy of the Sentence
Monitoring Update Computation Satisfaction display is printed and
placed in the file. The following statement must be annotated or
stamped on the paper copy to certify the release of all "old law"
cases:
"In accordance with 18 U.S.C. § 4163, this document certifies
that the within-noted inmate has been released as shown
above."
(Signature of CCM or designee)
Community Corrections Manager Date
c. The documented (paper copy) certification must become
part of the Inmate Central File. When the CCM mails the
offender's file to the parent institution, the Updated
Computation Satisfaction certification must be contained in it.
A copy of the “satisfaction display,” is to be included in all
cases.
d. When persons under supervision abscond or are terminated
early from a CCC, their sentence computation should be satisfied
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and made a prior commitment, effective the date they abscond. In
these cases, the computation remarks section should be updated to
reflect the reasons for early termination from the program.
Note: When a CCM office is scheduled to move (e.g.,
room, building, city, or opening or closing), the CCM shall notify
the Chief, SENTRY Field Services, Office of Information Systems,
Central Office, in writing, at least 90 days in advance.
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CHAPTER 7. FISCAL MANAGEMENT
7.1. BUDGET DEVELOPMENT OVERVIEW
The Bureau's budget development phase begins approximately 18
months before the start of the fiscal year. During this time,
management identifies initiatives (major projects and new
programs) to be included in the Bureau's budget request. Once
the Director has approved the initiatives, their projected cost
is added to the prior year's budget. This results in the
Bureau's proposed operating budget for that fiscal year.
It is imperative that CCMs and MCAs prepare sound, realistic
projections to ensure funds are provided for the accomplishment
of program goals and objectives. Usually in March, the Community
Corrections Branch (CCB) requests that CCRAs submit their budget
projections for the fiscal year 18 months away. Field staff then
begin the process of identifying budget requirements. The CCRA
analyzes all data from the field and submits it to the Central
Office CCB for submission to the Budget Development Branch in the
Bureau's Administration Division.
The Budget Development Branch compiles budget figures from all
Bureau components along with detailed narrative descriptions and
justifications of Bureau programs and initiatives into a document
known as the Spring Planning Submission. This is forwarded to
the Department of Justice (DOJ) to be included as a line item in
the Congressional Budget. After review by Office of Management
and Budget (OMB), the Budget Development Branch prepares the
budget for final review by the President and submits it to
Congress.
When an appropriations bill is passed by Congress and signed by
the President, the allotment procedure begins. The Central
Office Budget Execution Branch distributes funding for the
Region's fiscal year allocation.
7.2. AREAS OF RESPONSIBILITY
Community corrections is responsible for the following budget
areas:
! Contract Community Corrections Centers - Program
T1;
! Contract Confinement - Program D with its' three
parts: jails D1, long-term adult boarders D2, and juveniles D3;
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! Community Corrections Management - Program R1; and
! Transitional Services - Program 2021.
The Central Office CCB, in conjunction with the Budget Execution
Branch, is responsible for the initial allocation and transfer of
funds between regions and programs. Program T1 and D funds are
occasionally moved from one program to the other. Funds may not
be transferred between programs without written approval of the
Central Office CCB. For the purposes of management, Program R1
is always kept separate. R1 funds normally cannot be transferred
to the T1 or D programs.
CCMs submit estimated annual expenditures for each of their
contracts. They are responsible for projecting future budget
needs, estimating inmate-days and annual costs for contracts and
for monitoring budget expenditures. These budget projections are
then submitted to the MCA. The CCM is ultimately responsible for
the management of Program T1 and D monies in conjunction with the
Regional Comptroller
The MCAs have oversight responsibility for CCM tracking of budget
allocations and expenditures and for reviewing the budget
projections submitted by the CCM. The MCA consolidates these
budget requests and submits them to the CCRA. MCAs are also
responsible for the Community Corrections Management Center
budget, Program R1, which funds CCM office training, travel, and
supplies. The Central Office has no involvement with the
Community Corrections Management Center budget.
Each CCRA makes a request for their region’s upcoming fiscal year
to the Central Office based on budget projections received from
the MCAs. After the CCRA receives their allocation, funds are
distributed to the MCAs. The MCA then disburses funds to each
CCM office.
7.3. BUDGET PLANS AND REPORTS
7.3.1. Spring Planning Submission
The budget process, also known as Spring Call, begins in late
February or early March, 18 months in advance of the fiscal year.
At this time, projections, program initiatives, and workload data
pertaining to contract confinement needs two years into the
future are identified and compiled by the CCB. A narrative is
then submitted to the Budget Development Branch.
The Budget Development Branch prepares this information for
inclusion in the Bureau's funding request to Congress. Before
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Congress receives this request, DOJ and OMB review it closely and
may require additional information to support the request before it
is reviewed by Congress. Both the House and the Senate review the
Bureau's budget request and may decide to change requested amounts
prior to passing it to the President for final approval. The
budget projection process must begin well in advance of when the
funds are actually needed as this process takes over a year.
7.3.2. Annual Budget Plans
A Community Corrections annual budget plan is required to prepare
and identify budget needs for the next fiscal year. Each CCRA is
required to submit a completed annual budget plan to the CCB by
July 15 of each year.
One section of the annual plan gives projections for Contract CCCs
(T1) and another section gives projections for total contract
confinement (D), including jails (D1), long-term adult boarders
(D2) and juveniles (D3). Each section includes inmate-days and the
per capita cost used to arrive at the requested budget, plus a
narrative on any program or other change affecting the budget.
The CCB submits an operating plan by region and program based on
established funding levels provided by the Budget Execution Branch.
Budget Execution uses this to allocate funding by the appropriate
program and object class codes to the Regional office. The CCB
then informs the CCRA of his or her allocation for the upcoming
fiscal year.
7.3.3. Budget Projection Process
The budget projection process is essentially the same when
formulating both the spring planning submission and the annual
budget plan. The main difference is that the spring call goes to
the Bureau Budget Development Branch for use in requesting funds
from Congress while the annual budget plan goes to the Bureau
Budget Execution Branch after the funds have been granted by
Congress. Budget Execution uses the annual budget plan to
distribute funds to each region.
A general description of the process community corrections staff
use to project future fiscal needs is described below:
(a) CCMs submit budget projections to the MCA on Attachment
7-2, CCM Budget Projections, using the Budget Projection
Justification Worksheet for each contract. This worksheet is
found in the Community Corrections Technical Reference Manual.
Working papers are also submitted to the MCA and are filed
with these Attachments.
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To accomplish this, CCMs calculate their projections taking into
account the number of offenders to be serviced, average length of
stay, and per capita rate for both contract confinement and
community corrections centers budgets for each contract.
Details on trends, unique situations, and
additional variables affecting one or both of these programs also
must be taken into consideration. A narrative
explanation is required for any significant factors considered or
changes made from the Spring Call figures submitted a year
earlier.
(b) The MCA verifies the calculations and the process the
CCM used to prepare projections. This is accomplished using
the Verification section of Attachment 7-2, CCM Budget
Projections. The MCA also compares the actual costs and
total inmate-days used during the current year to ensure the CCM’s
budget projections are sound. The MCA then consolidates
all field data for their Management Center and submits a budget
request to the CCRA.
(c) Next, the CCRA reviews the budget information received from
each MCA and analyzes all justifications for any increase or
decrease. Once completed, the CCRA consolidates
the budget data from the Management Centers and submits
their regional request to the CCB for review using
Attachment 7-1, Region Annual Budget Plan.
7.3.4. Monthly Budget Reports
In order to monitor the community corrections budget on a
national level, CCRAs submit the following two monthly budget
summary reports found in BOPDOCs, via BOPNET Groupwise, by the
25th of each month to the CCB:
! Monthly Contract CCC Budget Summary (EMS Form 904).
This form is used to report Program T1 figures.
! Monthly Contract Confinement Budget Summary (EMS Form
903). This form is used to report Program D figures.
Both forms require budget information pertaining to expenditures,
inmate-days and per capita costs for all contracts within the
region. This information is recorded in the following
two categories:
! Actual for the last month: entered in this area are
the corrected figures for the previous reporting month.
The figures (expenditures, inmate-days, per capita
costs) are the total amounts obtained from all the
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contract bills processed and accrued for that month.
! Cumulative for the year: entered in this area are the
total figures (expenditures, inmate-days, per capita costs) for
the year, plus, the actual amount for the last month. Accrued
bills that have been processed will be adjusted and entered into
the yearly total.
7.3.5. Tracking Contract Expenditures
The Central Office CCB allots CCRAs a budget for each fiscal
year in Programs T1 and D. CCRAs allocate funds to each
Management Center for their field offices to track contract
expenditures.
CCMs must use the spreadsheet issued by the Central Office, CCB
Operations Section to record, monitor, and track expenditures by
contract and totals by CCCs (T1) and Confinement (D). MCAs
maintain oversight of the tracking of these expenditures. CCRAs
must be kept appraised of any circumstances in which there is a
significant surplus or deficit in funds. CCRAs will review and
make a determination on the appropriate action to be taken.
7.4. ACCRUALS
In accordance with current accounting policy, at the beginning of
each fiscal year, CCMs submit annual accruals for each contract
to Financial Management to be distributed across the next twelve
months as appropriate. CCMs make allotments to each contract
based on their annual disbursement received from the MCA. The
following instructions for this process are to be followed:
1. At the beginning of each fiscal year, the CCM office
will submit an annual accrual for each contract facility based on
their annual budget request submitted in June. The annual
accruals are submitted to financial management through the MCA
and CCRA. If the estimated monthly expenditures are projected to
be stagnant throughout the fiscal year, this figure can simply be
divided by 12. However, known variables, such as option year per
capita changes or projected population changes, must have an
individualized accrual for each of the 12 months calculated and
submitted.
2. If at anytime during the fiscal year the CCM office
expects a significant change in the originally submitted
accrual, they shall submit an amended accrual through the MCA
and CCRA to the Regional Comptroller.
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3. By the 25th of each month, each region must submit the
actual expenditures for the previous month to the Operations
Section in the CCB.
Policy requires that “accruals” be as accurate as possible.
Accurate projections result in accurate accruals. Therefore,
it is essential that staff perform legitimate, detailed projections
each year for each contract, track accruals against expenditures
monthly, and make adjustments as necessary.
7.5. CONTRACTOR BILLINGS
An invoice is the bill or written request of payment the contractor
provides for services rendered. Payments are based on a proper
invoice and satisfactory performance of contract terms. The MCA
and CCRA must monitor bill processing closely to ensure CCMs follow
proper procedures and process bills in a timely manner. Specific
procedures related to bill verification and certification are found
in the Community Corrections Technical Reference Manual.
CCMs must certify that services presented for payment have been
rendered. This must be done within five working days following
receipt of an accurate bill. All bills are date-stamped with the
date received and are reviewed promptly to determine if they are
accurate. Incorrect billings shall be returned to the contractor
for correction. The CCM shall maintain documentation to show the
date bills are received as well as the date bills are returned to
the contractor for corrections.
When billings are determined to be accurate, the CCM approves
payment by signing the voucher (SF-1034) and forwarding it along
with a copy of the billing to the CCRA within 5 days of receipt.
The CCRA then initials or signs the voucher and forwards it to the
Office of Financial Management.
If the contractor collects 25% of subsistence from the resident,
the CCM must ensure the billing calculations reflect the amount of
these collections and that the Bureau receives credit for them.
Further information regarding subsistence is found in Chapter 5.
7.5.1. Medical Payments
Inmates in CCCs are expected to become financially self- sufficient
and therefore, bear the cost of medical care. Refer to
Chapter 5 for further information.
The Bureau shall, however, accept financial responsibility for
inmates housed in contract detention facilities or CCC inmates with
unusual circumstances. The CCM must consult with the
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Regional Health Services Administrator (RHSA) prior to approving
services. The MCA and CCRA must be made aware of any unusual
circumstances.
Outside hospital, surgical, prescription and dental costs of
offenders housed in contract facilities are charged to FMS Cost
Center 225 (Outside Medical Service), Program B. This Cost
Center is managed by Bureau of Prisons Medical Services.
Community corrections staff do not obligate or expend funds from
this Cost Center. Outside medical costs are not included in the
basic daily contract rate.
7.5.2. Release Expenses
Non-subsistence costs, such as release expenses, which are not
included in the contract rate may be paid by the contractor and
reimbursed by the Bureau. The appropriate sub-object code is
listed separately on the contractor's invoice when processing the
bills. For example, if the U.S. Marshals Service pays for a
Bureau inmate serving a sentence in a jail, a SF-1080 is
submitted to the CCM for processing.
See the Program Statements on Interagency Agreement Between the
Bureau of Prisons and U.S. Marshals Service; and Release
Gratuities, Transportation, & Clothing, as well as Chapter 5 of
this manual for further information.
7.6. MANAGEMENT OF THE OPERATIONS BUDGET
The MCA is responsible for managing and tracking Program R1,
Operations Budget. CCRAs track R1, review and consolidate the
MCA/CCM requests, and submit their budget requests for regional
operating expenses to their Regional Comptroller. CCRAs
distribute R1 funds to the MCA who manages the R1 Program
expenditures for the Management Center district.
7.6.1. Annual Budget Plan for CCM/MCA Offices
CCRAs shall advise their CCMs/MCAs when to submit an annual
budget plan for the approaching fiscal year. This budget is for
the operation of the CCM/MCA office and is finalized through the
Regional Comptroller. Information on travel, office equipment,
supplies and other office operating expenses such as copier
rental, telephone, etc., is included. The CCM/MCA shall include
all equipment purchases for the Fiscal Year (furniture, office
machines, etc.) in this projection.
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7.6.2. Travel
The MCA and CCM project and plan travel on a monthly, as well as
annual basis. Based upon the annual allotment, the CCRA
allocates a specific amount of money for travel to each MCA.
In all cases, care must be exercised in planning and/or
approving travel to ensure the travel is prudent, required as
part of the traveling employee's responsibilities, and
incorporates the most economic and advantageous method and time
of travel.
The Regional Director authorizes all travel. A travel
authorization is issued to travelers before each actual trip
outside a 50-mile radius. The appropriate accounting
classification and the estimated amount of the travel must be
stated on all travel authorizations. The CCRA forwards all
travel authorizations to Financial Management.
Ordinarily, each MCA, CCM, and COS will use the government issued
credit card for travel purposes. Within five working days of
travel completion, the travel voucher must be submitted to
Financial Management. Vouchers claiming reimbursement costs for
official travel are submitted to the MCA/CCRA for approval using
the form authorized by Financial Management. Staff shall submit
the original travel authorization with lodging receipts and any
other receipts deemed appropriate. These attachments shall
accompany the travel voucher submitted to the MCA/CCRA for
approval and further payment processing.
Local travel within a 50-mile radius incurred by MCAs, CCMs and
COSs using privately owned vehicles (POVs) in and around official
duty stations (i.e., visits to a local contract facility, USM,
USPO, etc.) is claimed on the Miscellaneous Expenses (SF-1164)
and does not require a travel authorization. Receipts for
parking, tolls, etc., should be provided if available. Metered
parking used should be noted.
7.6.3. Office Expenditures
Office supplies, printed stationery, Post Office Box rental,
telephone costs, etc., relating to CC office operations may be
purchased with the government credit card. All expenditures,
both anticipated and actual, for CCM and MCA offices are routed
through the CCRA who is the Cost Center Manager for community
corrections budgets.
Major capitalized equipment needs require the submission of a
Request for Purchase Form (BP-S101.041) and a Major Equipment
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Justification Form (BP-S135.041) to the CCRA. Minor equipment
needs (non-capitalized) require only the Request for Purchase form
and, if approved by the CCRA, are forwarded to the Regional
Procurement Officer for issuance of a Purchase Order, BP-ACCT-81.
Day-to-day purchases must be made with the government credit card.
Exceptions to this rule and complete details on the use of
the credit card are found in the Program Statement on Bureau of
Prisons Acquisitions (subpart 13.601-70) and the Procurement
Technical Reference Manual. In general, the procedure for using
the card begins with the purchaser determining if the needed item
is available from a mandatory source. Once mandatory sources have
been screened, the purchaser locates a vendor and verifies the
price. Vendor selection is made on the basis of the best price or
value to the government and may be accomplished either by telephone
or in person.
All purchase orders, requests for purchase, and invoices require an
account class code as found in Financial Management regulations.
Upon receipt of an invoice and verification of services and/or
supplies received, the CCM or MCA shall stamp and sign approval of
charges claimed and forward the forms to the CCRA for further
processing and payment. Payment can only be made after approval of
a valid invoice. Payment cannot be issued based on receipt of a
statement.
7.7. ACCOUNTING AND CONTRACTING PROCEDURES AND CODES:
7.7.1. Introduction
The Appropriation Bill is an authorization by a Congressional Act
for an agency to make payments from the U.S. Treasury for specified
purposes. The two main appropriations administered by the Bureau
are:
the Salaries and Expenses (S&E) Appropriation, a "one-year
appropriation" available for incurring obligations only during a
specified fiscal year. Most community corrections funding
is contained in this appropriation, with some coming from the
Violent Crime Reduction Program (VCRP); and
the Buildings and Facilities (B&F) Appropriation, a
"no-year appropriation" available for incurring obligations
for an indefinite period of time.
Specific codes are used to track the Bureau’s expenditures of
Congressionally- appropriated funds. These codes are entered into
the Financial Management System (FMIS) which is the vehicle used to
keep track of the appropriation and expenditure of funds by various
units and programs within the Bureau.
PS 7300.09
1/12/98
Chapter 7, Page 10
7.7.2. Monitoring Budget Activity
It is important to monitor the FMIS reports and check on any
significant discrepancies between the FMIS figures and the CCRA
figures. CCRAs cross check their tracking systems (the three
programs described below) against FMIS official figures on a
quarterly basis.
7.7.3. Programs
Program Codes are used to identify functions or activities
conducted by the Bureau with funds specifically allocated for
that activity or function. The Program Code is a single letter.
Program Codes used in community corrections (and described at the
beginning of this chapter) are:
Contract Community Correction Centers = T1
Contract Confinement = D
Community Corrections Management = R1
Transitional Services = 2021
7.7.4. Codes
Each of the programs above also has a YRegDoc number which is a
10-digit (or 12-digit in Program Review) code placed on all
funding or obligating documents such as contracts, Purchase
Orders, and invoices. The codes are later entered into the FMIS.
The Community Corrections Technical Reference Manual contains a
description of what each part of the accounting classification
code means and how it is used by community corrections staff. It
is the responsibility of the CCRA, MCA and CCM to ensure these
codes are accurate. To assist, the following lists should be
obtained from the Regional Office of Financial Management on a
regular basis:
1. Bureau of Prisons FMIS/FMS Institution Codes,
2. Key to Classification Level Codes,
3. Program Area Codes,
4. Key to FMIS/FMS Sub-Object Codes.
7.8. CONTRACT NUMBERS AND CODING
7.8.1. Contract Numbers and Purchase Orders
Each obligating document must have a document control number
which is a two-part entry. This is a YRegDoc number and an
AccountClass code. This remains with the contract, without
PS 7300.09
1/12/98
Chapter 7, Page 11
regard to fiscal year, for the life time of the contract, or
until the contract is canceled or allowed to expire. Purchase
orders, on the other hand, are valid for one fiscal year or less
and only for the fiscal year in which issued.
Refer to the Community Corrections Technical Reference Manual
for examples.
7.8.2. Location Code
In addition to the contract number, each separate contract
location is assigned a three digit identification code by the
CCRA. This location code remains with the unit, and will remain
even when the contract is inactive and no longer used by the
Government. This code cannot be used again.
PS 7300.09
10/28/04
Attachment 7-1, Page 1
REGION ANNUAL BUDGET PLAN
for FY
Submitted by:
I. T BUDGET - COMMUNITY CORRECTIONS CENTERS
A. Best Estimate for Current Year Expenditures:
Inmate-days X Per Capita Cost =
B. FY Request:
Inmate-days X Per Capita Cost =
C. Justification for increase or decrease:
II. D BUDGET - CONTRACT CONFINEMENT
A. Best Estimate for Current Year Expenditures:
Inmate-days X Per Capita Cost =
B. FY Request:
Jail
Inmate-days X Per Capita Cost =
Long Term Boarder
Inmate-days X Per Capita Cost =
Juvenile
Inmate-days X Per Capita Cost =
Total
Inmate-days X Per Capita Cost =
C. Justification for increase or decrease:
PS 7300.09
1/12/98
Attachment 7-2, Page 1
CCM BUDGET PROJECTIONS For fiscal year
CCM Office:
Facility: Facility Code:
A Number of Inmates to be serviced
B Average length of stay
C Per Capita Rate
D Total Cost
VERIFICATION OF INFORMATION
1. Inmate-days 2. ADP
for the year
Reviewed
3. Adjustment made: Y/N 4. Per Capita Cost: Y/N
5. Total Cost $
Worksheet reviewed by:
Management Center Administrator
History
PS 7300.09 dated 1998-01-12
Provenance
- Source
- bop.gov
- Retrieved
- 2026-09-20
- Edition
- bop-ps-2026-09-20
- Content hash
2cc3bf7cbd1051dfdf1369a059133421c5b03d1ed2dee426a2d3586ea51ff3cd
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