US · guidance
BOP Program Statement 7300.09 § 5
ACTION. Community corrections staff shall conduct operations
and programs in accordance with policies and procedures in this
Manual.
/s/
Kathleen M. Hawk
Director
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Table of Contents, Page 1
COMMUNITY CORRECTIONS MANUAL TABLE OF CONTENTS
CHAPTER 1. ORGANIZATION AND MISSION
1.1 INTRODUCTION
1.2 MISSION
1.3 ORGANIZATION
1.4 STAFF POSITIONS
1.5 PROFESSIONALISM (Code of Ethics)
CHAPTER 2. PUBLIC RELATIONS
2.1 FEDERAL FAMILY
2.1.1 Federal Courts
2.1.2 U.S. Probation Office
2.1.3 Bureau Institutions
2.1.4 U.S. Marshals Service
2.1.5 U.S. Congress
2.1.6 Other Criminal Justice Agencies
2.2 STATE, LOCAL AND PRIVATE AGENCIES
2.2.1 Correction Agencies
2.2.2 Law Enforcement/Criminal Justice
2.2.3 Consulates
2.3 RELEASE OF INFORMATION
2.3.1 Freedom of Information/Privacy Act
2.3.2 Public Information
2.3.3 Contacts with the News Media
2.4 RECRUITMENT/EQUAL EMPLOYMENT OPPORTUNITY
2.5 INFORMATION ABOUT BUREAU INSTITUTIONS
2.6 MCA OVERSIGHT OF LIAISON AND PUBLIC
RELATIONS FUNCTIONS
CHAPTER 3 PERSONNEL AND OFFICE MANAGEMENT
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3.1 STRATEGIC MANAGEMENT CYCLE
3.1.1 Strategic Plans/Goals
3.1.2 Management Assessment
3.1.3 Management Indicators
3.1.4 Program Reviews
3.1.5 Operational Reviews
3.2 STAFF TRAINING
3.2.1 Mid-level and Support Staff
3.2.2 Training for New CCMs and CC Specialist Trainees
3.2.3 Training for Student Interns
3.2.4 Annual Training and Development Plans
3.2.5 Updating Employee Training Records
3.3 STAFF CERTIFICATION
3.4 PERFORMANCE EVALUATION
3.5 SUPERVISION
3.6 TECHNICAL ASSISTANCE
3.7 THE JUSTICE TELECOMMUNICATION SYSTEM (JUST)
3.7.1 Operation
3.7.2 Security
3.8 EQUIPMENT/PROPERTY
3.9 INMATE LOCATOR SERVICE
3.10 OFFICE FILES/RECORDS
3.11 MEETINGS
ATTACHMENTS
3-1 Training Objectives for Community Corrections Specialist
Trainees
3-2 Training Checklist for Community Corrections Specialist
Trainees
3-3 Community Corrections Specialist Trainee Profile
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CHAPTER 4 CONTRACTING
SECTION 4.1 GENERAL
4.1.1 Purpose and Organization
4.1.2 Types of Services Provided by Contract
4.1.3 Negotiation/Contracting Authority
4.1.4 Types of Contractual Binding Arrangements
4.1.5 Public Information, Ethical Standards and
Procurement Integrity
SECTION 4.2 PRE-SOLICITATION PHASE
4.2.1 Determination of Need for Contract Services
4.2.2 Request for Contract Action
4.2.3 Submission Time frame
4.2.4 Instructions for Completion of Request for
Contract Action
4.2.5 Community Corrections Manager Review
4.2.6 Management Center Administrator Review
4.2.7 Community Corrections Regional Administrator
Review
4.2.8 Community Corrections Administrator Review
SECTION 4.3 SOLICITATION PREPARATION
4.3.1 Wage Determination - Service Contract Act
4.3.2 Commerce Business Daily
4.3.3 Standard Schedule of Events (Milestone)
4.3.4 Issue Solicitation
SECTION 4.4 EVALUATION PROCESS
4.4.1 Receipt of Proposals
4.4.2 Preliminary Site Survey
4.4.3 Evaluation Panel - For Competitive Proposals with
Multiple Offerors
4.4.4 Panel Findings
4.4.5 Notification of Offerors not in the Competitive
Range
4.4.6 Negotiation with Offerors in the Competitive Range
4.4.7 Pre-Award Fiscal Audit
4.4.8 Contracting Officer Reviews Best and Final Offers
4.4.9 Final Review and Award Selection
4.4.10 Contracting Officer Review
4.4.11 Preparation and Documentation of Files
4.4.12 Award Contract
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4.4.13 Proof of Zoning
4.4.14 Preoccupancy Visit
4.4.15 Distribution of Contracts
SECTION 4.5 POST AWARD ADMINISTRATION
4.5.1 General
4.5.2 Monitoring Requests for Contract Action
4.5.3 Management Oversight
4.5.4 Contract Files
4.5.5 Contract Program Monitoring
4.5.6 Monitoring Instruments and Schedules
4.5.7 Monitoring and Evaluation of Community Corrections
Center Contract Performance
4.5.8 Contractor Training and Management/Technical
Assistance
4.5.9 Automated Data Processing Requirements
4.5.10 Modification of SOW/Contract
4.5.11 Option Year Contracts
4.5.12 Performance Problems
4.5.13 Adverse Action Notices
4.5.14 Terminations
4.5.15 Contract Closure
ATTACHMENTS
4-1 Request for Contract Action
4-2 Milestones for Contract Award
4-3 Contract Oversight Specialist Preliminary Site
Inspection Report
4-4 Regional Safety Specialist Preliminary Site
Inspection Report
4-5 Preoccupancy Inspection
4-6 Monitoring Report Format
4-7 Community Corrections Center Full Monitoring Instrument
4-8 Community Corrections Center Interim Monitoring
Instrument
4-9 Contract Jail Services Monitoring Instrument
4-10 Contract Long-Term Adult and Juvenile Monitoring
Instrument
4-11 Contract Confinement Interim Monitoring Instrument
4-12 Allegations of Contract Staff Misconduct/Integrity
Issues in Privately Operated Bureau of Prisons Contract
Facilities
4-13 Contractor Evaluation Form(CEF)
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CHAPTER 5 CASE MANAGEMENT
5.1 DESIGNATIONS
5.1.1 Placement of Inmates with Mental Health Issues or
Histories of Suicidal Behavior
5.1.2 Early Designation for Inmates in State Custody
5.1.3 Voluntary Surrenders
5.1.4 Appeals
5.1.5 Records and Documents
5.2 REFERRALS FOR INSTITUTION TRANSFER TO CCC
5.2.1 Special Cases
5.2.2 Procedures
5.3 DIRECT PLACEMENT OF OFFENDERS IN CCC
5.3.1 Probation/Supervised Release
5.3.2 Parolees/Mandatory Releasees
5.3.3 Direct Court Commitments
5.3.4 Community Confinement
5.3.5 Intermittent Confinement
5.3.6 CCC Placement as a Release Condition
5.4 CENTRAL INMATE MONITORING SYSTEM
5.5 REPORTING SIGNIFICANT INCIDENTS, EMERGENCIES, AND
DEATHS
5.6 ESCAPES
5.6.1 Definition and Application
5.6.2 Procedures
5.7 DISCIPLINE/IN-PROGRAM FAILURES
5.7.1 Community Corrections Center Staff
5.7.2 Procedures Upon Admission to Center
5.7.3 Discipline Hearing Officer
5.7.4 Procedures CCM to Follow After Imposition of
Sanctions
5.7.5 SENTRY Transactions
5.7.6 Appeals
5.7.7 Training Plans/Agenda
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5.8 SPECIAL DISCIPLINE PROCEDURES FOR VCCLEA Violent/PLRA
INMATES IN NON-FEDERAL FACILITIES
5.8.1 Identifying Sentences Imposed Pursuant to VCCLEA
and PLRA
5.8.2 Notification of VCCLEA and PLRA Requirements
5.8.3 Incident Reports
5.9 TRANSFER OF INMATES
5.9.1 Authority and Approval
5.9.2 Forms and SENTRY Procedures
5.10 PAROLE HEARING PROCEDURES
5.11 VICTIM AND WITNESS PROTECTION ACT OF 1982
5.12 MEDICAL SERVICES
5.12.1 Entrance Medical Appraisal
5.12.2 Routine Health Care
5.12.3 Sensitive Medical Data (SMD)
5.12.4 Mothers and Infants Together (MINT) Program
5.13 GENERAL CASE MANAGEMENT IN CONTRACT FACILITIES
5.13.1 Offender Subsistence Collection
5.13.2 Social Security Payment to Offenders
5.13.3 Employment
5.13.4 Authorized Absences
5.13.5 Religious Activities
5.13.6 Driving
5.13.7 Marriage
5.13.8 Electronic Communication Equipment
5.13.9 Utilization of Offenders in Investigations
5.14 RELEASE PROCEDURES
5.14.1 Release Schedule
5.14.2 Release Forms and Report Distribution
5.14.3 Fines/Assessments (Old Law Cases)
5.14.4 Fines/Assessments (New Law Cases)
5.14.5 Release Expenses
5.15 COST OF INCARCERATION FEE (COIF)
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5.16 SEXUAL ABUSE/ASSAULT PREVENTION AND INTERVENTION
5.16.1 Informing Inmates
5.16.2 Training Contract Staff
5.16.3 Reporting Requirements
5.17 USE OF VOLUNTEERS IN COMMUNITY-BASED PROGRAMS
ATTACHMENTS
5-1 CCM Designation Log
5-1a Tracking Juvenile Designations
5-2 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
5-3a Notification to Inmates Sentenced Under VCCLEA and/or PLRA
5-3b Notification to Contract Facility Warden or Director of
VCCLEA and/or PLRA Mandated Reporting Requirements for
Prohibited Acts
5-4 Authorization to Operate a Motor Vehicle
5-5 Release Forms
a. Certificate of Parole
b. Parole Form 1-33
c. Drug/Alcohol Program Consent Form
d. Mandatory Release Statement
e. Notice of Release and Arrival
f. Program Terminal Report
5-6 Committed Fine Transfers to Non-Federal Facilities
5-7 Committed Fine Direct Commitments or Designations of Non-Federal Facilities
CHAPTER 6 INMATE AND INFORMATION SYSTEMS MANAGEMENT
6.1 FILE MAINTENANCE AND DISPOSAL
6.1.1 Direct Court Commitments
6.1.2 Condition of Supervision Placements (Public
Law/Old Law Cases)
6.1.3 Community Confinement (Sentencing Reform Act)
6.1.4 Intermittent Confinement (Sentencing Reform Act)
6.1.5 Institution Transfers
6.2 INMATE FILE ACCOUNTABILITY AND SECURITY
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6.3 SENTRY APPLICATIONS
6.3.1 Location Code
6.3.2 Inmate Movement
6.3.3 Admission and Release Codes
6.3.4 Escape Codes
6.3.5 Home Confinement Transfer
6.3.6 COM Category
6.3.7 Community Transitional Drug Abuse Treatment (TDAT)
6.3.8 SENTRY Monitoring Data
6.4 SENTRY SENTENCE MONITORING APPLICATIONS
6.4.1 SENTRY Sentence Computation Procedure for Direct
Court Commitments, Condition of Supervision Cases, and Supervision
Violators
6.4.2 Sentence Computation Data Review for Institution
Transfers
6.4.3 Sentence Computation Data for Supervision Cases
6.4.4 Sentence Computation for Probation or Supervised
Release Violators
6.4.5 Good Time Actions - Disciplinary Process
6.4.6 Sentence Satisfaction Procedures
CHAPTER 7 FISCAL MANAGEMENT
7.1 BUDGET DEVELOPMENT OVERVIEW
7.2 AREAS OF RESPONSIBILITY
7.3 BUDGET PLANS AND REPORTS
7.3.1 Spring Planning Submission
7.3.2 Annual Budget Plans
7.3.3 Budget Projection Process
7.3.4 Monthly Budget Reports
7.4.5 Tracking Contract Expenditures
7.4 ACCRUALS
7.5 CONTRACTOR BILLINGS
7.5.1 Medical Payments
7.5.2 Release Expenses
7.6 MANAGEMENT OF THE OPERATIONS BUDGET
7.6.1 Annual Budget Plan for CCM/MCA Offices
7.6.2 Travel
7.6.3 Office Expenditures
7.7 ACCOUNTING AND CONTRACTING PROCEDURES AND CODES
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7.7.1 Introduction
7.7.2 Monitoring Budget Activity
7.7.3 Programs
7.7.4 Codes
7.8 CONTRACT NUMBERS AND CODING
7.8.1 Contract and Purchase Order Numbers
7.8.2 Location Code
ATTACHMENTS
7-1 Region Annual Budget Plan
7-2 CCM Budget Projections
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CHAPTER 1 - MISSION AND ORGANIZATION
1.1 INTRODUCTION
Community corrections has grown in complexity and scope
throughout the last decade. One aspect of this growth is
evidenced by the increase in Federal offenders housed in non-Federal facilities. In addition, innovative programs such as
community-based drug treatment and sanction centers have been
established or expanded.
Staff members must be skilled in a number of areas to accommodate
the various demands of the community corrections field. Contract
development and administration, inmate management, public
relations, personnel management, financial management and project
management are all areas in which staff must be proficient.
1.2 MISSION STATEMENT
The mission of community corrections is to provide programs and
facilities for Federal offenders serving their sentences in
non-Bureau facilities, and to play an instrumental role in
designating Bureau and non-Bureau facilities for placement of
offenders. Community corrections staff:
! Develop and manage contract residential resources that
provide:
(1) pre-release assistance for inmates who are nearing
their release date,
(2) an option to institutional confinement for certain
short-term offenders and,
(3) a structured environment for certain probationers,
parolees, and supervised releasees who need more assistance
and supervision than can be provided by community
supervision.
! Develop and manage contract resources that provide secure
confinement for:
(1) all sentenced Federal juvenile offenders,
(2) long-term Federal inmates confined in non-Federal
institutions, and
(3) detention of Federal offenders serving short sentences.
! Develop and maintain working relationships with U.S.
District Courts, the U.S. Marshals Service (USMS), the U.S.
Parole Commission, U.S. Attorneys, and state and local
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government agencies for processing offenders into, and out of,
the Bureau.
! Provide inmate systems and case management services to
offenders in non-Bureau facilities.
! Provide technical assistance to state and local criminal
justice agencies and serve as general liaison between the
Bureau and the public.
1.3 ORGANIZATION
The Community Corrections Branch (CCB) is under the authority of
the Assistant Director, Community Corrections and Detention
Division (CCDD).
COMMUNITY CORRECTIONS ORGANIZATIONAL CHART
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* BOP *
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* Community Corrections * *Administrators for Contracting, *
* Managers * *Program Development & Operations*
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1.4 STAFF POSITIONS
Community Corrections Administrator. The Administrator develops
and coordinates policy and provides general oversight for all
Community corrections activities.
Community Corrections Regional Administrator (CCRA). Under the
direction of the Regional Directors, CCRAs are responsible for
all community corrections functions, services and operations
within their respective regions.
Management Center Administrator (MCA). Under the direction of the
CCRA, the MCA is responsible for a Correctional Management Center
(CMC), which generally comprises two to three community
corrections field offices.
Community Corrections Manager (CCM). CCMs operate under the
direction of the MCAs and are responsible for all functions,
programs and services related to community corrections in their
assigned judicial districts. CCMs are also responsible for
providing supervision and guidance to staff assigned to the
community corrections field offices.
Community Corrections Contract Oversight Specialist (COS).
Contract Oversight Specialists oversee contract facilities
through routine contact, correspondence review, announced and
unannounced on-site monitorings and technical assistance visits.
Community Corrections Trainee (Community Corrections Specialist
Trainee). The Trainee position is a developmental one, designed
to prepare the incumbent for reassignment to a Community
Corrections Manager or Contract Oversight Specialist position.
Ordinarily, Trainee positions are found in CCM offices that are
co-located with an MCA office.
Community Corrections Regional Safety Specialist (CCRSS). The
CCRSSs are a technical experts on all matters related to Life-Safety Code requirements and other safety issues. The
CCRSSs provide training and guidance in this area to community
corrections and contract staff within their respective regions.
Community Corrections Regional Inmate Systems Management
Specialist (CCRISM). The CCRISM provides technical assistance on
matters related to Inmate Systems applications as well as trains
and guides community corrections and contract staff within their
respective region.
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Case Manager. The individual assigned to this position ordinarily
has responsibility for all community corrections office case
management functions including but not limited to designations,
disciplinary reports, referrals and requests involving
participation in community programs and special activities.
Legal Instruments Examiner (LIE). This position is
responsible for numerous inmate management functions including
computing inmate sentences, updating SENTRY, and providing
expertise regarding the structure and legality of offender
sentences.
Community Corrections Specialist. This position may be created to
accommodate an individual office’s unique staffing needs.
Community Corrections Administrative Assistant. The individual
assigned to this position organizes and maintains daily office
operations by providing clerical and administrative support to
either the Region, MCA, or CCM office staff. This position
requires knowledge of fiscal management procedures, contract
specifications, contractor bill certification, supply maintenance
and travel voucher preparation.
Transitional Services Manager (TSM). The TSM establishes and
administers community-based substance abuse treatment services for
inmates residing in the community.
Transitional Services Specialist (TSS). The TSS, under the
direction of the TSM or the CCRA, monitors the progress of
offenders participating in drug treatment during the period of
community programming. The TSS may also process referrals, assist
with budget oversight, monitor treatment providers, and serve as
liaison to the Bureau’s institutional drug treatment programs.
1.5 PROFESSIONALISM (Code of Ethics)
Community corrections staff are highly specialized professionals.
All employees must maintain the highest standards of conduct and
act in accordance with written requirements and guidelines as
detailed in the Program Statement on Standards of Employee Conduct.
Furthermore, staff conduct should build public confidence in the
Bureau's ability to carry out its mission.
Accordingly, staff shall avoid not only misconduct, but also the
appearance of misconduct. Community corrections staff must be
particularly sensitive in their relationships with contract service
providers. A cooperative, professional relationship between
community corrections staff and contractors is expected, but staff
must also ensure those relationships do not develop to the point
that even the appearance of improper conduct or conflict of
interest can be asserted.
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CHAPTER 2 - PUBLIC RELATIONS
2.1 FEDERAL FAMILY
A major duty of CCMs is to establish and maintain rapport with
Federal agencies including the Courts, the U.S. Probation
Service, the U.S. Marshals Service (USMS), the Federal Bureau of
Investigation (FBI), U.S. Attorneys Offices, Federal
institutions, and others. CCMs must periodically visit these
agencies to provide general information on Bureau programs and
services and keep them abreast of Bureau activities. See the
Program Statement on Contacts with other Agencies and
Organizations.
2.1.1. Federal Courts
It is a major responsibility of CCMs to regularly advise Federal
courts of services and programs available to inmates and of
relevant changes in Bureau policies and procedures. There are
a variety of ways to accomplish this high-priority task. CCMs
are expected to schedule visits with members of the judiciary.
The CCM can coordinate with Chief U.S. Probation Officers (USPOs)
to attend district judges’s meetings and arrange periodic
informal visits with judges and magistrates. CCMs serve as a
link between judges and Federal Wardens by inviting and escorting
judges to Community Corrections Centers (CCCs) and Federal
institutions, and encouraging judicial participation in Bureau
conferences and activities.
2.1.2. U.S. Probation Office
It is essential that CCMs and COSs develop close working
relationships with USPOs in their assigned areas. Joint
endeavors with probation offices include visits to, and monitoring of contract programs, joint participation in training at
institutions and contractor training sessions, pre-release
meetings, CCC staff meetings, Bureau and probation training
conferences, etc.
CCMs should encourage USPOs to make use of CCC programs for
probationers, parolees and mandatory releasees who are having
difficulty functioning under supervision.
Also, CCMs are to encourage USPO support in utilizing CCCs as a
sentencing option for Federal court commitments.
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Good working relationships with probation officers are also
important in the areas of designations, the Transitional Services
program, CCC/Comprehensive Sanction Center program improvement
and accountability, CCC options for potential supervision cases,
and for sharing information concerning the community adjustment
of CCC residents.
2.1.3. Bureau Institutions
Close relationships must be maintained among community
corrections staff, Wardens and their staff. The community
corrections office often serves as a basic link among Federal
Courts, U.S. Probation Offices, and Bureau institutions.
CCMs serve as a knowledgeable resource to Bureau institutions
concerning community corrections resources available to
offenders. CCMs should schedule regular visits to Bureau
institutions in their geographical areas of responsibility. Not
only should CCMs attend inmate pre-release meetings, but also
they should also schedule meetings with appropriate staff to keep
them advised of contract resources, particular program
initiatives, referral procedures, etc. CCMs shall consult with
Wardens in their districts about the possibility of providing
training in community corrections during regularly scheduled
institution training classes.
2.1.4. U.S. Marshals Service
The CCM staff must have close working relationships with the USMS.
The Bureau uses jails jointly with the USMS and depends on
the USMS to secure and monitor jail contracts. The Bureau also
depends on the USMS to assume custody of CCC failures and others
under Bureau control. USMS cooperation in the designation
process is essential for efficient operations. The CCM (or
designee) and USMS must have informal meetings on an ongoing
basis. See the Program Statement on Interagency Agreement Between
the U.S. Bureau of Prisons (BOP) and the U.S. Marshals Service
(USMS).
2.1.5. U.S. Congress
CCMs may occasionally be called upon to arrange tours for members
of Congress or their staff. After the tour, the Chief of
Congressional Affairs in the Central Office should be notified by
telephone. The Congressional Affairs Chief needs information on
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the nature of any issues or questions arising during the tour and
the purpose of the tour, so an appropriate thank you letter may
be sent. CCMs should keep their MCAs informed of congressional
inquiries of any type.
2.1.6. Other Criminal Justice Agencies
CCMs must establish working relationships with other Federal
criminal justice agencies, including the U.S. Attorney's Office,
FBI, etc.
2.2. STATE, LOCAL & PRIVATE AGENCIES
The community corrections staff must be sensitive to the needs and
concerns of the local community. They must be aware of, and
communicate with, state and local corrections agencies, law
enforcement, and social services agencies. Moreover, they should
participate in community advisory boards and local civic groups
and be sensitive to the perspective of locally elected officials.
See the Program Statement on Contact with other Agencies and
Organizations.
2.2.1. Corrections Agencies
Community corrections staff may provide technical assistance to
correctional agencies and programs upon request. These agencies
may be potential contracting resources for housing inmates.
2.2.2. Law Enforcement/Criminal Justice
CCMs represent the Bureau by attending meetings of local law
enforcement criminal justice agencies and community boards and by
participating in professional organizations and conferences.
Membership in local law enforcement coordinating committees and
other organizations of a criminal justice nature should be
considered an essential part of the CCM's formal relationship
with the local criminal justice community.
2.2.3. Consulates
Community corrections staff, especially those located near
international borders, may have the need to consult with
representatives of other countries regarding their citizens who
are Federal inmates.
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2.3. RELEASE OF INFORMATION
2.3.1. Freedom of Information/Privacy Act
CCMs must be familiar with the Privacy Act and the Freedom of
Information Act because, as the Bureau's representatives, it is
essential that they be aware of the kinds of information they may
release. CCMs shall also ensure that all staff in the community
corrections office are familiar with the requirement of the
Freedom of Information/Privacy Act. See the Program Statement on
the Release of Information.
The Public Information Inmate Data SENTRY transaction displays
information that may be released to the public. Generally
(except in CIMS and juvenile cases), CCMs may release the
following information to anyone, on residents of CCCs and
confinement facilities:
a. Name
b. Register Number
c. Place of Incarceration
d. Age
e. Race
f. Conviction and sentencing data: this information
includes the offense of conviction, court of
conviction, date of sentencing, length of sentence,
amount of good time earned, parole eligibility date,
parole release (presumptive or effective) date, and the
date of expiration of sentence.
g. Past movement via transfers or writs: CCMs may not
disclose which institution has been designated for an inmate
prior to the inmate’s actual arrival.
h. Information concerning a Youth Corrections Act (YCA)
incarceration may be released only after the CCM
confirms that the YCA conviction has not been "set
aside" or expunged.
2.3.2. Public Information
CCMs may respond to inquiries using the releasable information
described above or by giving general information regarding Bureau
policy or institutions. Specific questions about particular
Bureau institutions or inmates confined in them should be
referred to the Public Information Officer (PIO) at that
institution. If uncertainties exist, or for specific questions
of an unusual or sensitive nature, the CCM should refer the
inquiry to the MCA. The MCA may respond or refer the inquiry to
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the Regional Office PIO. Although CCMs and MCAs are not PIOs, it
is recommended they become familiar with public information
issues and policy.
2.3.3. Contacts with the News Media
a. Requests for Information
CCMs may only release public information as described above to the
news media. If an inquiry requiring a response outside the
realm of public information is made by the media concerning a
specific incident with an inmate or contract facility, the CCM
should consult with the Regional PIO. When public information is
released to the news media, it must be documented in writing to
the MCA with copies to the CCRA, Regional Director's office, and
the Central Office PIO. CCMs and MCAs should be familiar with
the provisions of the Program Statement on News Media Contacts.
b. Requests for Personal Interviews
A media request to interview an inmate at a contract facility must
be approved by the facility Director. The inmate must agree
to the interview and sign a consent form (BP-S233) in advance.
This form is retained at the facility and a copy is provided to
the CCM. The interviewer must abide by the rules of the contract
facility. The CCM must consult with the MCA regarding any
interview request. The Program Statement on News Media Contacts
shall be used as a guide with particular attention paid to the
following:
! Inmates must not receive compensation for any
interview.
! If the inmate is a juvenile, the written consent of the
parent or guardian is to be obtained.
! Judicial orders forbidding such interviews due to
pending court action must be honored.
! The CCM and facility Director shall consider any
probability for the interview to endanger the health or safety of
the interviewer or cause serious unrest or disturb the good order
of the facility.
2.4. RECRUITMENT/EQUAL EMPLOYMENT OPPORTUNITY (EEO)
Pamphlets and brochures on employment with the Bureau are
available from the Regional and National Recruitment offices.
CCMs should have a ready supply on hand. When individuals are
interested, the CCM should forward their names, addresses, and
phone numbers to the Regional EEO Administrator and Recruiter.
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CCMs should contact other criminal justice agencies (such as the
USPOs) to share qualified applicant lists. Resources for
minority recruitment include, but are not limited to, such
agencies as the Urban League, NAACP, and placement offices at
colleges and universities.
A skill of primary importance to CCMs is the ability to establish
and sustain a high level of rapport with the community. In
addition to attending meetings and performing other public
relations duties, CCMs should develop effective public speaking
skills.
2.5. INFORMATION ABOUT BUREAU INSTITUTIONS
Periodically, the CCMs shall provide USMS and USPOs in their
service areas with copies of "BOP Facts" from SENTRY for
institutions where offenders from the service area are ordinarily
placed. See the Program Statement on BOP Facts. As changes
occur, institutions are required to update information including
directions for self-surrender. CCMs must ensure that USPOs and
the USMS are informed of any significant changes.
2.6. MCA OVERSIGHT OF LIAISON AND PUBLIC RELATIONS FUNCTIONS
During office visits, the MCA shall routinely evaluate this area
to ensure that CCMs are maintaining on-going contacts,
establishing good working relationships and disseminating
accurate information on significant changes within the Bureau to
appropriate agencies. This may be done through telephone or in-person contacts with various members of these agencies as well as
by questions directed to the CCM.
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Chapter 3, Page 1
CHAPTER 3 - PERSONNEL AND OFFICE MANAGEMENT
3.1. STRATEGIC MANAGEMENT CYCLE
Managers at all levels in the Bureau are expected to manage their
programs using the "strategic management cycle." This is
defined as a holistic approach incorporated into the Bureau's
system of management. Key components of this cycle available to
TSMs, CCMs, MCAs and CCRAs are as follows:
P Strategic Plans/Goals P
Management Assessment P
Management Indicators P
Program Reviews
P Operational Reviews
These components are interdependent and, together, will assist
the manager to gather, monitor, analyze, and synthesize
information aimed at assessing their program and adjusting
operations to achieve the desired and required results.
3.1.1. Strategic Plans/Goals
Staff at all levels are encouraged to have input into the
national strategic planning process. The Strategic Planner's
Desk Guidebook is available on BOPDOCs to facilitate this input.
3.1.2. Management Assessments
Management Assessments are conducted every three years to provide
managers an opportunity to identify and review management
indicators, vital functions, and strategic issues. The end
product is the issuance of Program Review Guidelines for
community corrections. Separate guidelines are issued for TSMs,
CCMs, MCAs, CCRAs and Central Office. These may be updated
quarterly.
3.1.3. Management Indicators
Management indicators assist program managers to monitor their
program's vital functions. They can be helpful in preparing for
program and operational reviews and can be incorporated into
strategic planning as a means of tracking goal progress and
attainment.
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Chapter 3, Page 2
3.1.4. Program Reviews
Program reviews are conducted to determine:
P compliance with regulations,
P the adequacy of internal controls, and
P the effectiveness of operations.
They also indicate patterns, trends, interrelationships, cause
and effect of problems, and innovative methods to improve
operations. The Community Corrections Section of the Program
Review Division has assumed responsibility for all official
program reviews of community corrections offices.
3.1.5. Operational Reviews
An operational review is a self-evaluation program staff
conduct under the CEO's authority. It allows for a close
evaluation of program strengths and weaknesses, as well as for
any necessary corrective action.
The Regional Director ensures the review of the CCRA office
occurs. CCRAs ensure operational reviews of MCA and CCM offices
are conducted. The CCRA shall appoint a Reviewer-in-Charge (RIC)
for each operational review. Typically, the RIC is the MCA for
the CCM office and the CCRA for the MCA office, although it is
not uncommon for the MCA or CCM to review their own office
operations. Staff from the region or from Central Office may
assist. Program Review Guidelines shall be used when conducting
operational reviews.
As the review authority, the Regional Director shall receive
all operational review reports through the CCRA. One copy of
each report shall be forwarded to the Senior Deputy Assistant
Director of the Program Review Division. These reports are filed
in the Community Corrections Section of the Program Review
Division and shall be reviewed periodically by community
corrections branch staff.
Reference should be made to the Program Statement on Management
Control and Program Review and its accompanying Technical
Reference Manual for specific operational review procedures and
time frames as well as for more detailed information on other
components of the "strategic management cycle."
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Chapter 3, Page 3
3.2. STAFF TRAINING
CCRAs, MCAs, CCMs and TSMs are responsible for establishing
training and educational programs which upgrade the expertise of
and prepare staff for progressively more responsible positions.
All new CC staff without prior community corrections experience
are required to complete the Community Corrections Cross
Development Course within four months of entry on duty. Each new
community corrections staff member must also complete 16 hours of
community corrections orientation within their first two weeks on
the job. Within one year of their selection to the position,
CCMs, CCM Trainees, and Case Managers are required to pass the
Case Management Cross Development course if they have not already
done so. These training standards and others can be found in
the Employee Development Manual.
3.2.1. Mid-level and Support Staff
As with all staff, training shall be specific to the duties and
responsibilities of the staff persons position while also
providing a thorough understanding of the Bureau and its
relationship with various government and community agencies.
The TSM, if a supervisor, shall ensure the training received is
appropriately documented in the employee's training record.
3.2.2. Training for New CCMs and CC Specialist Trainees (CCST)
a. MCAs are responsible for implementing intensive one year
training programs for new CCMs and CCSTs. The MCA shall maintain
training records on new CCMs and CCSTs and ensure that the
training received is being documented in the respective training
records.
The new CCM and CCST training program shall include a
comprehensive orientation to Community corrections and any other
relevant training the individual needs. The Training Objectives
for Community Corrections Specialist Trainees and the Training
Checklist for Community Corrections Specialist Trainees
(Attachments 3-1 and 3-2) may be used for new CCMs and COSs if
appropriate.
b. MCAs shall evaluate CCSTs and new CCMs monthly for one
year or until all training objectives have been met. The MCA who
administers the training program to the CCST shall prepare
narrative quarterly reports addressing the training objectives in
Attachment 3-1. The report, along with the Training Checklist
for Community Corrections Specialist Trainees, shall be placed in
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Chapter 3, Page 4
the employee's file. At the end of each fiscal quarter, the MCA
shall send a copy of the report and the Checklist to the CCRA and
the Community Corrections Branch, Assistant Administrator of
Operations.
At the conclusion of the training period, MCAs shall evaluate
the CCST's performance and forward the evaluation with
recommendations, to the CCRA. The CCRA shall determine if
training objectives have been met and whether any further
personnel action (promotion, further training, reassignment)
should be considered. The CCRA shall forward a copy of this
final report to the Assistant Administrator of Operations.
3.2.3. Training for Student Interns
In offices where a paid student intern is assigned, the CCM
(unless otherwise delegated by the CCRA) shall develop a
comprehensive training plan which involves the intern in critical
office functions. The CCM shall evaluate the intern monthly and
submit quarterly reports with recommendations to the MCA for
review with a copy to the CCRA and Community Corrections Branch
Assistant Administrator of Operations. A full-time staff member
shall review work performed by paid or unpaid student interns.
3.2.4. Annual Training and Development Plans
CCRAs, MCAs, CCMs, and TSMs, if acting in a supervisory capacity,
shall compile a Training and Development Plan (TDP) for use
throughout the fiscal year including mandatory training,
department goals and/or new technology, as well as the equipment
necessary, to carry out the plan throughout the fiscal
year.Training opportunities outside the Bureau should be
considered and can be added as the TDP is updated throughout the
year.
The TDP reflects the results of individual needs assessments
culminating from each supervisor's annual review of each
employee's training needs. The Regional Employee Development
Administrator is available for assistance in developing needs
assessments and local or departmental TDPs. Further information
regarding needs assessments and TDPs is found in the Employee
Development Manual.
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Chapter 3, Page 5
3.2.5. Updating Employee Training Records
Supervisors shall send a Request, Authorization, Agreement and
Certification of Training form (SF-182) to the Regional Training
Coordinator to ensure the employee's individual training record
is updated. Completed training shall be reviewed at the time of
annual performance evaluations.
3.3. STAFF CERTIFICATION
Community corrections staff perform a number of technical tasks
in inmate monitoring. Failure to follow proper procedures could
result in infringement of inmate rights. In order to ensure
staff are knowledgeable in these matters, the CCM, Case Manager,
Legal Instruments Examiner, and other locally identified staff
shall be certified in Central Inmate Monitoring. Recertification
must occur every three years.
All staff who use JUST terminals and/or teletype machines must be
certified. Recertification is required every two years and must
be maintained.
The CCM, COS and CCM Trainee shall receive Contracting Officer
Technical Representative (COTR) certification.
3.4. PERFORMANCE EVALUATION
Supervisors are required to complete quarterly performance logs,
six-month progress reviews, and annual performance evaluations on
each employee under their supervision. The Regional Personnel
Office shall provide scheduling and forms. See the Human
Resource Management Manual.
3.5. SUPERVISION
! CCMs are responsible for supervising all staff in their
community corrections office. MCAs supervise their
Administrative Assistants and CCMs, while the CCRA supervises
MCAs, TSMs, and regional staff assigned to their
office. Either the TSM or CCRA supervises staff assigned to
work with the Transitional Services Program. This
determination is made at the regional level.
PS 7300.09
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Chapter 3, Page 6
! During the absence of the CCRA, MCA or CCM, an acting person
should be designated, in writing, with distribution of the notice
to appropriate staff to ensure the chain of command
is maintained and the duties and responsibilities of these
positions continue to be accomplished in an orderly manner. The
responsibilities inherent in an acting position also serve to
facilitate employee development.
3.6. TECHNICAL ASSISTANCE
MCAs shall provide technical assistance to community corrections
offices between operational reviews, as needed, to ensure
previously noted deficiencies have been corrected, or
satisfactory alternatives have been developed. In addition,
administrators shall assess CCM progress in implementing any new
program initiative since the last review and thoroughly review
any area of special concern.
During some technical assistance visits, the MCA shall monitor
contract bill verifications for four randomly selected contracts
to ensure procedures comply with requirements and to verify that
offender inmate-days are correct. The method of subsistence
collection and waivers granted shall also be reviewed on these
contracts. A summary of the findings from this or any type of
monitoring done shall be included in the technical assistance
visit report which shall be forwarded to the CCM with a copy to
the CCRA.
CCRA visits to their areas of responsibility shall include, but
are not limited to, Management Center and Transitional Services
Program offices. Areas reviewed during these visits shall be
documented and a copy of this report shall be forwarded to the
respective office for response.
CCMs and Central Office staff may also be called upon to provide
technical assistance to other Community corrections offices.
3.7. THE JUSTICE TELECOMMUNICATION SYSTEM (JUST)
3.7.1. Operation
a. The U.S. Department of Justice Telecommunications System
Manual and the Program Statement on Justice Telecommunication
System (JUST), National Crime Information Center (NCIC), and
National Law Enforcement Telecommunications System (NLETS), Users
Guide provide instructions for operation and maintenance of
appropriate logs.
b. While JUST messages are required in many cases, their
PS 7300.09
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Chapter 3, Page 7
use should be considered under the following circumstances:
! JUST messages are to be used only when mail, telephone,
BOPNet, SENTRY, or fax alone will not suffice.
! The number of the recipients of each JUST message shall
be kept to the essential minimum.
! "Out of service" and "in service" messages to all
stations shall not be used.
! "All Stations" messages are to be routed through the
MCA and approved by the CCRA.
c. Machine operation problems are referred to the Office
of Information Systems, Field Services Section at (202)
307-1406.
d. Mnemonic Codes
! Bureau listings are provided in the Program Statement
cited above.
! Department of Justice agencies (U.S. Marshals Service,
U.S. Attorneys, etc.) are cited in the Department Manual.
! Mnemonic codes which identify where an inmate is housed
shall be deleted from administrative messages that are maintained
on file or are otherwise potentially available to others for
review.
e. All Community corrections offices shall maintain a
NCIC/NLETS log for the recording of QH and QR inquiries. This
log is found in the Program Statement cited above.
3.7.2. Security
Equipment shall be located in a secure area. The CCM shall
ensure all administrative message users are trained and
certified.
PS 7300.09
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Chapter 3, Page 8
3.8. EQUIPMENT/PROPERTY
CCMs, MCAs, and CCRAs are Accountable Property Officers
responsible for maintaining current inventories of all
equipment/property assigned to their area. The BOP-ID Number
shall be permanently marked on each item of capitalized property.
See the Property Management Manual for further information.
3.9. INMATE LOCATOR SERVICE
Selected staff may handle routine inquiries about individual
inmates by accessing SENTRY and then referring the caller
accordingly. Inquiries about Witness Security Inmates shall be
referred to the Inmate Locator Service. The CCM and MCA shall
ensure that all staff are trained in the handling of inquiries
about inmates and are familiar with the screening site procedures
found in the Central Inmate Monitoring System.
The Locator Service operates Monday through Friday, 9:00 AM to
5:00 PM Eastern Standard Time. The FTS number is 367-3126 and
the commercial number is (202) 307-3126. Telephone requests
should be limited to five individuals or less. Callers should
have identifying data, such as a register number or a birth date.
Requests for information on more than five persons should be made
by mail. Address these inquiries to the:
Inmate Locator Service
320 First Street NW
Washington DC 20534
3.10. OFFICE FILES/RECORDS
Instructions for maintaining specific records and files pertaining
to such areas as designations, Community Corrections Center
referrals, contract administration, etc., are contained elsewhere
in relevant sections of this Manual. In addition, CCMs
and TSMs are responsible for establishing and maintaining
complete files on all other matters related to the office
operation, i.e., property inventory, performance logs,
correspondence, etc. These files shall be organized by subject
and maintained for at least two years or until the next scheduled
Program Review has been completed.
PS 7300.09
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Chapter 3, Page 9
Bureau policies and related forms are available to staff through
BOPDOCS. CCMs shall maintain other directives, manuals and
reference materials such as regional instructions, legal
reference books, copies of manuals, and instructions from other
agencies necessary for the performance of their duties. All
staff should be trained in the use of BOPDOCS.
3.11. MEETINGS
Supervisors are required to hold regularly scheduled meetings
with subordinates, at least monthly, when the department consists
of two or more subordinate staff. See the Program Statement on
Staff Meetings.
PS 7300.09
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Attachment 3-1, Page 1
TRAINING OBJECTIVES FOR COMMUNITY CORRECTIONS SPECIALIST TRAINEES
The following training program shall be implemented for training
Community Corrections Specialist Trainees (CCST) newly assigned
to CC offices. It is recommended for the training of new
Community Corrections Managers (CCMs) and Contract Oversight
Specialists (COSs) as well.
Although the Community Corrections Regional Administrator (CCRA)
and Management Center Administrator (MCA) are ultimately
responsible for ensuring this training program is appropriately
administered, the program participant's immediate supervisor is
the trainer. Trainers are responsible for ensuring proper
training and guidance are afforded the new CCM, COS, or CCST as
well as for determining their proficiency in each training area.
The CCRA shall determine, with the appropriate input of the
supervising MCA and CCM, when a CCST is eligible for promotion to
a more responsible position. Generally, the training program
should be completed within 12 months; however, where appropriate,
supervisory staff may accelerate or extend the training program
after consultation with the CCRA and MCA. The emphasis should be
on completing the entire program in the allotted time rather than
on completing tasks in the order listed.
During the initial three months, the new CCM/COS/CCST shall
become familiar and/or proficient in the following areas:
1. As soon as practical, the new CCM/COS/CCST shall be
introduced to the principle individuals with whom he/she will
be involved, including, but not limited to, the following:
a. Members of the Federal Court (ie., judges and probation
staff).
b. Members of the U.S. Marshals Service, U.S. Attorneys
Office, and other members of the Federal family within the
service area of the assigned office, as deemed appropriate.
c. All heads of agencies with whom the office works on a
contractual basis. This includes CCC Directors,
Wardens and Superintendents of State institutions, Sheriffs,
Chiefs of Police, and other members of local law enforcement
agencies as necessary.
PS 7300.09
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Attachment 3-1, Page 2
d. Introduction to all Bureau staff with whom the assigned
office is directly involved. This includes all
executive staff within all institutions in the office service
areas. A visit to the Regional Office should
be arranged, if possible, in order to meet the Regional Director
and any other staff with whom the new CCM/COS/CCST will be
working.
e. Meeting with the Transitional Services Program staff
and becoming familiar with their duties.
2. The new CCM/COS/CCST shall immediately begin training in
SENTRY and office management systems, and demonstrate
proficiency in the following areas after the initial three month
period:
! The ability to maintain the Inmate Information System
within SENTRY.
! The ability to program inmate information into the
SENTRY data base, and perform the necessary functions within the
designation process, up to and including transmitting data to
the Regional Designator for a final designation decision.
! The ability to release an inmate from SENTRY, following
release from a contract facility.
! Proficiency in the use of basic SENTRY ISM and case
management functions.
! Proficiency in the proper and efficient verification of
billings from contractors.
! Familiarity with office operations including filing
techniques, ordering of supplies, methods of preparing purchase
requests, paying operation costs within the office, and
maintenance of office equipment.
! The ability to create and maintain inmate files and
dispose of them upon final release of the inmate.
! The methods of maintaining and disposing of contract
files.
! An understanding of the Transitional Services Program
(TSP), including familiarity with the TSP referral process,
contract oversight, and case management functions.
PS 7300.09
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Attachment 3-1, Page 3
During the second three-month period, the new CCM/COS/CCST shall
be given a gradual increase in his/her level of responsibility.
At the end of this period, the new CCM/COS/CCST shall demonstrate
familiarity within the following areas:
! Proficiency in the Security Designations Systems. Under the
direction of the CCM, the new CCM/COS/CCST shall begin to submit
designation requests to the Regional Designator.
! Proficiency and understanding of the contracting process.
This shall include training in the Contract Location Profile
System, Requests for Contract Action, and basic understanding of the various types of contracts utilized in the
service area, including those for the Transitional Services
Program.
! Understand the role of the Contracting Officer and the role
of the CC Branch Contract Specialist.
! The Central Inmate Monitoring System (CIMS) and the National
Crime Information Center/National Law Enforcement
Telecommunication System (NCIC/NLETS) shall be understood to the
point that during this period, if required, testing
shall be scheduled for certification. Following
certification, the new CCM/COS/CCST shall be allowed to
submit CIMS data.
! The disciplinary process in contract facilities shall be
presented and understood.
! The new CCM/COS/CCST shall become proficient in the
application of Federal Travel Regulations and the submission of
Travel Vouchers.
! Understand the proper procedures in the preparation of Time
and Attendance Records.
! Develop familiarization with the Employee Performance
Evaluation system.
! Begin to understand the yearly budget cycle and related
responsibilities. At the discretion of the trainer, the
trainee may begin Cost Center Manager training.
During the third three-month period, the new CCM/COS/CCST shall
begin to fully assume the responsibilities of the assigned
position. The new CCM/COS/CCST shall:
! Become fully involved in the contracting process, beginning
with the original submission of the Request for Contract Action
through final award of the contract. The process for
PS 7300.09
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Attachment 4-1, Page 4
obtaining COTR and Procurement Integrity Certifications shall
begin.
! At a minimum, complete the monitoring of at least two CCCs
and, if applicable, a state penitentiary and a local county jail.
The experienced CCM or MCA shall accompany the trainee on
these monitorings.
! Be given signatory authority on all types of correspondence,
with review by the experienced CCM or MCA before final mailing.
! Learn how to evaluate contract resources available in the
service area and be able to determine if additional or fewer
resources are needed.
! Be fully trained in case management procedures, as they
pertain to Community corrections operations.
! Accompany the experienced CCM to institution pre-release
meetings.
! Become actively involved in a contractor training session.
! Conduct solo visits to appropriate agencies at the experienced
CCM's or MCA's direction in order to promote appropriate
public relations.
! Receive training in financial management and budget
projection.
The fourth and final three-month period, the training shall
encompass and evaluate all of the training during the prior nine
months.
During all phases of training, the supervisor shall maintain
constant contact with the CCRA through the MCA regarding the
progress of the new CCM/COS/CCST.
At the completion of each three-month period, the trainer shall
submit a narrative evaluation of the CCST's progress with the
Training Checklist. The MCA shall review and initial these
evaluations and forward copies to the CCRA and Community
Corrections Assistant Administrator of Operations. These reports
shall be reviewed and signed by the CCST. Copies of all pertinent
documents related to an individual's participation in this training
program shall be kept on file by the supervisor for a minimum of
two years after program completion.
All aspects of the training plan must be completed before a CCST
may be considered for a more responsible position. Time frames are
presented as a guide, and deviance from them is permitted with
justification.
PS 7300.09
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Attachment 3-2, Page 1
TRAINING CHECKLIST FOR COMMUNITY CORRECTIONS SPECIALIST TRAINEES
This checklist is a guide to the training process. It should be
initialed only when it is felt the new CCM/COS/CCST is proficient
in that specific area.
Name of Specialist Trainee Name of Trainer
Location Date Training Began
TRAINING TOPIC TRAINER TRAINEE DATE
DESIGNATION PROCEDURES
Routine procedures...Steps to
be taken before keying information into SENTRY.
Non-routine procedures...Designations to short-term jails
and CCCs.
Paperwork flow...Do not keep
designation packet...Do not mail
certified.
Designation Log...Importance of
log...What needs to be included
..What is not necessary.
Time limitations...From USM designation requests to submission to
designator.
CCC REFERRALS
Source...Where referrals come from.
Referral form...Community-based
Program Agreement form.
Log...Importance of referral log...
What should be included.
PS 7300.09
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Attachment 3-2, Page 2
TRAINING TOPIC TRAINER TRAINEE DATE
Procedures...Step-by-step explanation...Receiving referral...Acceptance
date...Notifying institution...
Transfer documentation.
Special programs...Eligibility...
Purpose...Drug Transitional Services,
CSCs, ICCs, MINT, Home Confinement.
Special cases...3621(e) and 4046(c).
CONTRACTING PROCEDURES
Determination of need...CCC...Short-term
jail...Short and long-term juvenile
boarding...Long-term adult boarding...
Special programs.
Identification of source... Existing
contracts.
Contracting steps...Pre-solicitation
process...Time frames...Contract
solicitation/phase award.
CONTRACT MONITORING
Time frames...Major/Moderate/Minor use..
Instrument to use...Cover letter.
Contract profile report...Preparation
...How to utilize...Forms...Routing.
CCC monitoring vs. Jail inspections
vs. Juvenile Short and long-term
boarding vs. Long-term adult boarding.
PS 7300.09
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Attachment 3-2, Page 3
NCIC/NLETS Requirements...Use...
Reporting...Fingerprinting...
Integrity issues.
SENTENCE COMPUTATION
ISM modules...Routine commitments...
Special cases (juvenile).
Supervision cases...Keying accurate
data...Monitoring through SENTRY.
Satisfaction of computation on
SENTRY.
TRAINING TOPIC TRAINER TRAINEE DATE
Certification of computation after
release of inmate.
OFFICE MANAGEMENT
Office Budget
Accruals...Expenditures...
Projections...Managing the "R" budget..
Travel...Office supplies.
JUST System
Operation...Security.
Reports
Accruals...Actuals...Quarterly
...Inmate-days...Escapes...Incident
...Integrity...Strategic Planning
...Operational Reviews.
CONTRACT FILES
Familiarization...What should and
should not be in the contract file.
PS 7300.09
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Attachment 3-2, Page 4
SENTRY FUNCTIONS
Load data function...Release functions.
Regularly used transactions.
Use of SENTRY to aid in bill
verification.
EMS System.
PUBLIC RELATIONS
Federal Family
U.S. Courts/Pre-trial Services
U.S. Probation
U.S. Attorney
Immigration & Naturalization Service
TRAINING TOPIC TRAINER TRAINEE DATE
U.S. Marshals
Bureau Institutions
State and Local Agencies
Corrections
Law Enforcement/Criminal Justice
Contractors
Contacts with the News Media
FOIA/Privacy Act
Date Training Objectives Accomplished: 1st Quarter,
2nd Quarter, 3rd Quarter, 4th Quarter.
Anticipated Completion Date for All Training Objectives: .
Date CC Cross Development Series Completed: .
PS 7300.09
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Attachment 3-2, Page 5
Date CIM Certification Completed: .
Date Cost Center Manager Training Completed (optional): .
Date Basic Sentence Computation-Computer Assisted Module
Completed: .
Date Case Management Cross Development Course Completed: .
Date COTR Certification Received: .
Trainer's Narrative Report Attached (check):
1st Quarter, 2nd Quarter, 3rd Quarter, 4th Quarter
Initials of MCA Indicating Report Reviewed: 1st Quarter, 2nd
Quarter, 3rd Quarter, 4th Quarter.
Dates Report and Checklist mailed to CCRA and Central Office
Community Corrections Branch: , , , .
MCA's Final Evaluation and Recommendation for Personnel Action:
Signature: Date:
PS 7300.09
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Attachment 3-2 Page 6
CCRA's Decision Regarding Personnel Action:
Signature: Date:
PS 7300.09
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Attachment 3-3 Page 1
COMMUNITY CORRECTIONS SPECIALIST TRAINEE PROFILE
Name of Trainee Name of Trainer
Location Date Training Began
Completion of this form will assist staff in assigning Community
Corrections Specialist Trainees (CCSTs) to a desired office
location (an assignment of choice is not guaranteed as the needs
of the agency supersede the desires of the trainee). This
profile is to be attached to the CCST Checklist for the 3rd
Quarter prior to routing and shall be made available to all CCRAs
as positions become vacant. It may be updated at any time.
Please identify as follows:
Desirable - 1, Neutral - 2, Undesirable - 3.
NORTHEAST REGION LOCATIONS MID-ATLANTIC REGION LOCATIONS
Boston, MA Annapolis Junction, MD
New York, NY Cincinnati, OH
Philadelphia, PA Detroit, MI
Pittsburgh, PA Raleigh, NC
Nashville, TN
SOUTHEAST REGION LOCATIONS NORTH CENTRAL REGION LOCATIONS
Atlanta, GA Kansas City, KS
Miami, FL St. Louis, MO
Orlando, FL Denver, CO
Montgomery, AL Minneapolis, MN
Chicago, IL
SOUTH CENTRAL REGION LOCATIONS WESTERN REGION LOCATIONS
Dallas, TX Long Beach, CA
El Paso, TX Sacramento, CA
Houston, TX San Francisco, CA
San Antonio, TX Seattle, WA
New Orleans, LA Phoenix, AZ
Salt Lake City, UT
SIGNATURE DATE
PS 7300.09
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Chapter 4, Page 1
CHAPTER 4 - CONTRACTING
4.1 GENERAL
4.1.1. PURPOSE AND ORGANIZATION
The organization of this Chapter corresponds to the major phases
and progression of the community corrections contracting process.
It brings into focus the separate and mutual
responsibilities and the relationships in the contracting process
of the Contract Oversight Specialist (COS), Community Corrections
Manager (CCM), Community Corrections Regional Safety Specialist
(RSS), Correctional Management Center Administrator (MCA),
Community Corrections Regional Administrator (CCRA), Regional
Comptroller (RC), Contracting Officer (CO) and the Community
Corrections Administrator (CCA) in the Central Office.
This Chapter also depicts the order in which the different phases
of the contracting process are to be accomplished and who is
responsible for completing each phase. These procedures apply
to all types of agreements, including those with private sector
firms and governmental agencies.
Community corrections is responsible for program areas in the
contract process. Under the CCM's supervision, the COS is
ordinarily the first staff involved in the process. The
contributions of the COS will directly affect the timely
accomplishment of necessary planning, placement, and
administration of a contract under which Federally appropriated
funds are obligated and expended. The COS also has primary
responsibility for gathering, interpreting, and transmitting
information used in technical direction, inspection, and
evaluation contractor performance.
The CO is responsible for the procurement areas of contracting as
the government's authorized agent in dealing with contractors.
Only the CO has the authority to negotiate, award, modify,
administer and terminate contracts.
The Contracting Officer's Technical Representative (COTR),
ordinarily the CCM, and the CO are jointly responsible for
ensuring services are performed in accordance with the terms of
the contract. The CCM's decisions are ordinarily based upon the
information generated and provided by the COS in the execution of
oversight duties and responsibilities.
The MCA, CCRA, and Assistant Administrator for Contracting (AAC)
are the management staff responsible for reviewing and approving
the COTR's request for all proposed contract actions.
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In addition, the management staff are responsible for overall
policy and contract budget development. The CCA or designee is
the Source Selection Official (SSO) for all community based and
juvenile contracts. The Community Corrections and Detention
Division Detention Branch will appoint an SSO for all secure
adult and juvenile contracts.
4.1.2. TYPES OF SERVICES PROVIDED BY CONTRACT
The Bureau contracts with commercial sources and enters into
Intergovernment Agreements (IGA) with government sources for the
following correctional and community corrections services:
4.1.2.1. Community Corrections Centers
Community Corrections Centers (CCCs) provide residential
correctional programs near the home communities of inmates.
Generally, CCCs provide programs to:
a. inmates nearing release to facilitate the transition
from confinement to the community;
b. probationers, parolees, mandatory releases, or
supervised releases (U.S. Probation Officer [USPO] referrals) who
need a more structured environment than can be provided under
regular supervision;
c. community confinement cases as described in the
Sentencing Guidelines; and
d. direct court commitments serving short sentences.
Work release facilities are included in this category,
whether the inmate is housed in a CCC or a jail setting.
4.1.2.2. Short-Term Jail Facilities
Occasionally, it is not in the best interest of the Bureau, the
Court, or the inmate, to designate a Bureau facility as the place
of confinement. The Bureau uses jails for: confinement of
inmates designated to serve short sentences; CCC violators; or
intermittent confinement cases, as described in the Sentencing
Guidelines. Normally, a local jail will not be designated for
inmates with 45 days or more remaining to be served. The
majority of jails the Bureau uses are under contract with the
U.S. Marshals Service (USMS), and the Bureau is an authorized
user. There are some jail contracts, however, that are
exclusively contracted for by the Bureau.
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4.1.2.3. Long-Term Adult Boarding Facilities
Long-term adult boarding facilities are ordinarily state or
county correctional facilities that provide a wide range of
programs and security. These facilities are primarily for
inmates serving longer sentences than are served in a jail
setting.
4.1.2.4. Juvenile Facilities
The term “juvenile" is defined in Bureau policy and includes those
under age 18 and those between the ages of 18 and 21 who
are sentenced under the Federal Juvenile Justice and Delinquency
Prevention Act. Juveniles are ordinarily boarded in non-Federal
facilities, both governmental and private. Specific
circumstances, such as a Court Order requiring CCC placement in
an adult facility, must exist before a juvenile can be authorized
for placement in a Bureau CCC.
The most common categories of juvenile facilities are:
a. Juvenile Boarding Institution
This is a secure, institution-based facility for more serious
juvenile inmates serving intermediate or long-term sentences, and
may include training schools, reformatories, youth centers, etc.
b. Juvenile Community-Based Facility
This is a minimum security community-based facility
generally with full services, and regular access to the
community. Programs such as education may be conducted solely in
the community.
4.1.2.5. Special Programs
The Bureau can contract or enter into agreements for other
specialized facilities and services, such as Comprehensive
Sanction Centers (CSCs), Drug Transitional Services, and Home
Confinement. Other examples are contracts or agreements designed
to meet specific mental or physical health concerns for inmates
such as pregnancy, mental illness, or a proclivity to commit sex
offenses. Additionally, contracts for programs concerned with
study and observation cases and drug treatment programs can be
established. Provisions to meet special programming requirements
must be contained in the Bureau's solicitation for
services/Statement of Work (SOW).
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4.1.3. NEGOTIATION/CONTRACTING AUTHORITY
The Bureau has authority to award option-year contracts for CCC
services. The most common award is for five years (two-year base
with three one-year option periods), for confinement of prisoners
(18 U.S.C. 4002). The CO must adhere to the Federal Acquisition
Regulations (FAR), the Justice Acquisition Regulations (JAR), the
BOP Acquisition Policy (BPAP), and the Competition in Contracting
Act (CICA).
4.1.4. TYPES OF CONTRACTUAL BINDING ARRANGEMENTS
The CO shall determine the type of arrangement instrument based
upon the requirements identified in the Request for Contract
Action (RCA). Each contract file shall be fully documented to
explain why the chosen arrangement was selected. There are
basically four types of arrangements the Bureau uses:
4.1.4.1. Contract (Firm-Fixed Unit Price Requirements,
Indefinite Quantity)
The word “contract,” in a broad sense, means a mutually binding
legal relationship obligating the seller to furnish the services
or the supplies and the buyer to pay for them.
Therefore, the word contract can mean a purchase order (PO), or a
contract.
This provides for a fixed-price per inmate, per day, during the
life of the contract. This contract type places a reasonable
majority of risk and responsibility for all costs and resulting
profit and loss on the contractor. It provides maximum incentive
for the contractor to control costs, to perform effectively, and
to impose minimum administrative burden upon the contract
parties. Ordinarily, the Bureau contracts for a two-year base
period, to include three additional one-year options. The
decision to exercise an option is the Bureau's unilateral right.
4.1.4.2. Purchase Order
A PO is a simplified small purchase procedure which may be
appropriate in a variety of situations. POs cannot exceed one
year, nor may they extend beyond one fiscal year into the next.
The two most common uses of a PO for Community corrections
contracts are:
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a. Procuring services upon specified definitive terms and
conditions, under which the aggregated amount does not exceed
$100,000. This is to be used in a one-time situation where one
or more inmates are placed in a facility, but the Bureau does not
anticipate using the facility again (single use).
b. Purchase of recurring requirements, when requirements
are not known in advance. The amount shall not exceed $100,000.
The FAR prohibits the use of small purchase procedures in the
acquisition of supplies and services initially estimated to
exceed the small purchase limitation ($100,000). Part 13.103 of
the FAR indicates, "Requirements aggregating more than the small
purchase limitation shall not be broken down into several
purchases that are less than the limit merely to permit the use
of small purchase procedures."
4.1.4.3. Intergovernmental Agreement
An IGA is a bilateral agreement for services to be provided by a
state or local government, at a reasonable price. Ordinarily, it
has an indefinite expiration date. It does not
require all the steps necessary in contracting with non-governmental entities.
The Bureau may be an authorized user of IGAs established by other
Federal agencies, such as the USMS, U.S. Probation Service
(USPS), and the Immigration and Naturalization Service (INS),
when authorized by the agency contracting for the service. This
is commonly known as "piggybacking."
4.1.4.4. Indefinite Quantity (Guaranteed Beds)
This provides a guaranteed minimum number of inmate-days within
the contract period. The Bureau contracts for a one-year
base period to include four additional one-year options. The
decision to exercise an option year is the Bureau's unilateral
right.
4.1.5. PUBLIC INFORMATION, ETHICAL STANDARDS, AND PROCUREMENT
INTEGRITY
The amount of information that may be disclosed about a
contract depends on whether the information pertains to a
contract which has been awarded or is in the pre-award stage.
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4.1.5.1. Information Concerning Proposed Contracts
Bureau personnel shall handle information concerning the Bureau's
need for services to be performed under contract as sensitive
information. Extreme care shall be exercised to ensure
no one receives information that could give any prospective
offeror an advantage over another. Bureau personnel shall avoid
situations that give even the appearance someone may be receiving
favorable treatment or obtaining special information concerning
contract actions.
Sensitivity to these issues shall be emphasized in all stages of
the contracting process. Community corrections staff
shall constantly safeguard against activities, social or
otherwise, that might jeopardize their ability to perform their
functions objectively, or which could be perceived as impairing
their objectivity. For example, no employee shall accept any
gift, benefit or service, tangible or intangible, from any
contractor, offeror, or related party (see 28 CFR 45 et Seq.).
Section 27 of the Office of Federal Procurement Policy Act
(41 U.S.C. 423) provides, in part:
“During the conduct of any Federal agency procurement of property
or services, no procurement official of such agency shall
knowingly... disclose any proprietary or source selection
information regarding such procurement directly or indirectly to
any person other than a person authorized by the head of such
agency or the Contracting Officer to
receive such information.”
The CO must be informed promptly of all communications
concerning solicitations Request for Proposals (RFPs) from
prospective offerors or any other unauthorized individuals.
Community corrections staff shall refer all inquiries to the CO
who will determine, with the assistance of Legal Counsel, the
appropriate response.
The primary concern in releasing information is to protect the
competitive environment, the offerors confidential business
information, and ultimately, the contract award itself.
4.1.5.2. Information Concerning Current Contracts
Once a contract has been awarded, a large portion of the file
becomes releasable information (except for the items exempted
by the Freedom of Information Act [FOIA] and Trade Secrets
Act) through established FOIA request procedures.
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Generally, trade secrets and financial information are exempt
from release. Individuals who request information about existing
contracts shall be advised to submit their request in writing to:
Federal Bureau of Prisons
FOI/PA Office
320 First Street NW
HOLC Building, Room 738
Washington DC 20534
4.2: PRE-SOLICITATION PHASE
4.2.1. DETERMINATION OF NEED FOR CONTRACT SERVICES
Community corrections staff must be alert to the ongoing need for
contract correctional services. An important responsibility
of the CCM and COS is to identify potential contract resources.
The COS determines the need for new services not available
through existing contracts; contracts for services in new
geographical areas; and replaces, diminishes or modifies services
for existing contracts.
Expiration of contracts, information received from Federal
institution staff and USPOs, studies of population trends, and
other data may dictate the need for additional contract resources
within a given geographical area. These resources may be needed
for pre-release corrections, special services, or provide the
court with a sentencing option.
Initial sources to consult are the national professional
association directories, Division of Human Services Directory,
USPOs, state and county correctional agencies, existing contract
facilities and other interested offerors.
4.2.2. REQUEST FOR CONTRACT ACTION (RCA)
An RCA is a document that officially initiates a particular
procurement action; it is sometimes called a Requisition or
Purchase Request. RCAs provide the basis for determining how
procurements will be conducted and how contracts will be awarded.
They contain descriptions of the requirements, required
authorizations, and necessary administrative details that enable
the CO to prepare and issue solicitations and develop contract
documents. The SOW, an essential element of the procurement
request, contains information which describes tasks to be
accomplished or delivered.
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The COS is responsible for identifying contract needs and
submitting requests to the CCM for review and approval. The CCM
will ensure all RCAs exceeding $100,000 for competitively-let
procurements have the required Advance Procurement Plan (APP)
form(s) completed and attached in accordance with BOP/DOJ policy
and procedures. All RCAs are reviewed and approved by the MCA,
CCRA, and CCA staff prior to being forwarded to the CO. The
Request for Contract Action (Attachment 4-1) form shall be
completed for:
# all new and replacement Bureau contracts;
# IGAs the Bureau negotiated; and
# any modifications to Bureau contracts, excluding for
exercising option years.
Joint use agreements. The Bureau often uses arrangements
established by other Federal agencies, such as the USMS, INS,
USPS, etc. These arrangements will ordinarily be IGAs. The USMS
headquarters office will send the appropriate CCM office a copy
of each available USMS jail contract in which Bureau use is
included. When the USMS contracts are unavailable, or the
contracts concern other agencies, the COS shall obtain a copy of
the contract through the local office of the appropriate agency,
and type on the face sheet of the agreement, using space number 7
"Appropriation Data," the following: "BOP authorized user," the
accounting classification code and estimated use. If the COS
knows when services will start, that information shall be
included.
The COS shall make copies of the agreement and send them to the
MCA and the CCRA. If there are modifications to the agreements,
such as a new inmate day rate, a copy of the amended agreement
shall be obtained by the COS and forwarded through the CCM and
MCA, to the pay station.
4.2.3. SUBMISSION TIME FRAME
4.2.3.1. Multi-Year/Option Year Bureau Contracts
For a new or replacement contract, the CO should receive the
RCA 14 months prior to the performance date.
4.2.3.2. Purchase Orders
For a new or replacement Bureau acquisition for services, whose
aggregate use will not exceed $100,000, the CO should receive
the RCA at least four months prior to the performance
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date. The preliminary site inspection report, which will follow
the same format as a CCC preliminary site report, and the SOW
must accompany the RCA.
4.2.3.3. Bureau IGAs
The CO should receive RCAs for a new or replacement
agreement four months prior to the performance date.
4.2.3.4. Exercise Option Year
A BOPNet GroupWise E-mail message requesting an option year be
exercised should be received at the Community Corrections Branch
four months prior to the performance date. The CCRA, MCA,
CCB Contract Specialist, Technical Assistant, and Supervisory
Contract Specialist shall be forwarded a copy of the request.
The CCB will be responsible for forwarding the request to
Community Corrections Contracting.
4.2.3.5. Modifications
The CO should receive all requests for a significant
modification of any Bureau arrangement as soon as community
corrections field staff become aware of the need to modify a
contract.
4.2.3.6. Other
If a situation arises which requires immediate procurement
action, such as an unexpected court commitment, community
corrections staff, ordinarily the COS, shall immediately
telephone the CO to obtain instructions regarding the appropriate
procedures to be followed. The COS shall follow up the
telephonic notification with a GroupWise E-mail to the CO, with
copies to the MCA, CCRA, and CCA. An RCA shall be completed and
processed through regular channels.
4.2.4. INSTRUCTIONS FOR COMPLETION OF REQUEST FOR CONTRACT
ACTION
The following instructions should be followed in completing the
RCA:
4.2.4.1. Type of Action
Check either a, b, or c. Requests for new or replacement
contracts require:
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! a description of the type of services,
! the geographic location wherein which the facility
should be located, and
! the SOW under which the contractor will perform.
If one of the standard SOWs (CCC, Juvenile, CSC) is to be used,
include the title of the SOW and the date of the current issue.
When it is determined that portions of a standard SOW
should be modified to adequately specify a particular
requirement, these changes must be incorporated into the SOW and
submitted with the RCA. A typed summary of the changes to the
SOW must be submitted as an attachment to the RCA.
The COS shall develop a special and concise SOW when it is
inappropriate to modify a standard SOW.
The contractor's name, contract number, and SENTRY location code
must be provided for all requests to modify an existing contract.
Requests to exercise an option year are considered
contract modifications.
4.2.4.2. Justification and Explanation
The CO must have as much information as possible regarding the
nature of the requirement, this section must always include
comments addressing the following issues.
For a New or Replacement Contract specify:
! The expiration date, including any extensions of the
current contract, shall be included for a replacement contract.
! If multiple awards are desired, they should be
outlined in this section. Multiple awards are desired when there
exists geographical restrictions and different types of services
are required using the same solicitation. The justification for
multiple awards must be clearly defined and appropriately
justified. For example, in a large metropolitan area, where
estimates exceed 50 inmates for an average daily population, more
than one contract may be preferred.
! If the request is not being submitted in a timely
manner (specified months prior to performance date), an
explanation must be included. Additional pages may be attached
if necessary. Justifiable reasons might be for unanticipated
services.
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! If more than one basic type of service is to be
provided, they should be outlined. The most common example is
when work release and short-term jail services are provided in a
single contract, ordinarily from the same location.
! The specific nature of any non-residential service
(such as psychological services, drug counseling, community
supervision services, release expenses such as transportation,
gratuity, and clothing, etc.), should be discussed.
! If services are to be provided to one or both sexes or
to a special group of offenders (sex offenders, handicapped,
alcoholics, etc.), these should be addressed.
! Any special circumstances that might require special
consideration or action by the CO (i.e., anticipated delays in
zoning approval or issuance of permits), should be included in
this section.
For Contract Modification, a detailed explanation and
justification of the requested change(s) must be included.
Examples of contract modifications include, but are not limited
to:
! a change in, or addition of, a place of performance,
! change in billing address, or
! the implementation of a program such as home
confinement with electronic monitoring.
Any changes must be within the general scope of the contract and
in accordance with the FAR.
4.2.4.3. Period Services Will be Required
When working with intermittent requirements such as a PO,
include the specific dates services are to begin and end. When
working with a multi-year contract, include the date services
should begin and estimate when services will end.
Ordinarily, the expiration date of services provided under an
IGA should be indefinite. It must specifically state the
terms upon which the parties may terminate the agreement (i.e.,
upon 90 days written notice).
4.2.4.4. Fiscal Data a.
Accounting Code
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Identify the fiscal year (FP = FY 97 is "7," FY 98 is "8," and so
on), Decision Unit ("T" or "D"), Cost Center (use #2 as the first
digit for regional office), PMS, Project Code, and the
Sub-Object Code. (See Chapter 7 for explanation of these codes.)
When there are two types of services within a facility or
contract (e.g., a jail with a work release unit and a detention
unit), determine the predominant use and use one accounting code.
b. Estimated Inmate-Days and Expenditures
Inmate-days and estimated costs are essential factors in the
development of a contract.
Estimates must be based upon an analysis of information which
includes: SENTRY release data; input from the U.S. Probation
and U.S. Attorney's office; past history; population trends over
the last two to three years; and budgetary allowances. Central
Office research staff provide the Community Corrections Branch
with data to assist in the analysis of estimating inmate-days.
Other issues that may affect inmate-days estimates and over- all
expenditures are: policy changes affecting placements; over
crowding; a considerable drop in population in Bureau or state
facilities; the need for two or more contracts in the same
service area, operating under the same SOW; and new laws. The
sources of information and the analysis of the data shall be
documented and a copy attached to the RCA. At a minimum, this
shall consist of written or telephonic documentation of
Probation's needs and inmate-day use figures for the previous 24
months, if replacing an existing contract.
Yearly cost estimates should be based upon operating costs for the
last year, plus anticipated cost increases, multiplied by the
estimated number of inmate-days. Additional requirements
imposed upon a contractor by a modified or new SOW must also be
considered when estimating the inmate-day rate. The estimated
per capita or inmate-day rate is the government's initial
estimate in determining the fair and reasonable cost for the
services being requested.
Accurate cost estimates are also necessary to assist the CO in
determining the appropriate contracting procedures to be followed
and can result in significant time savings. When
possible, attach the inmate-day rate of other contractors in the
same geographic area and the number of beds these contractors
provide to the RCA.
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For the option-year requirements contracts, the base period is
ordinarily for a 24-month period with three one-year option
periods. For Indefinite Quantity Contracts, the inmate-day and
per capita costs for males and females must be separately
identified when the requirement is for both sexes.
For POs, the aggregate cost estimate shall not exceed
$100,000. For IGAs, inmate-day and cost figures should reflect
estimates for a 12-month period, rather than 24 months. Inmate-days and cost figures provided on RCAs to exercise option years
must reflect the identical figures contained in the initial
contract award.
When the request is to change work requirements and a change in
the per capita cost is not anticipated, indicate this fact by
stating "no additional cost anticipated" under the Cost Estimate.
If added costs are expected, the nature and extent of these costs
must be justified; this action may require a resolicitation for a
new contract and the loss of subsequent option years.
4.2.4.5. Suggested Sources
CCM office staff shall list local prospective contractors with
addresses, telephone numbers, and contact persons. Efforts
to identify multiple sources are extremely important because
competition has proven to be cost-effective and, as a government
agency, the Bureau is required by law to give all qualified
contractors the opportunity to compete for Bureau contracts, when
possible.
Always include the incumbent (indicate by an asterisk) and any
other sources in the area.
Potential contractors who communicate a request to be placed on
the solicitation mailing list should be advised to write to
the Contracting Officer, Community Corrections Contracting,
Central Office, specifying the specific location(s) and number of
beds they are capable of providing, as well as requesting a
solicitation mailing list application.
Since some contractors have expressed their desire to be
included in all contract solicitations throughout the country,
sole source contracts have been virtually eliminated.
For IGAs, identify the particular governmental entity (e.g. City,
County, State agency).
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4.2.4.6. Existing Contracts
List all existing Bureau contracts within 50 miles.
Indicate the contractor's:
! name,
! contract number,
! SENTRY location code(s),
! per-diem rate, and
! expiration date.
Requirements for a particular service area may be combined when
it is determined to be in the Government's best interest.
4.2.4.7. CCM Office Mailing Address
Include CCM's name, address, and telephone number for
billing purposes.
4.2.4.8. Signatures
This section of the RCA contains signature blocks and must be
signed and dated as appropriate. An RCA with original
signatures must be received by the CO. CCA staff will note the
date the RCA is received by the CO prior to distributing copies
to the appropriate field staff.
4.2.5. CCM REVIEW
After the COS completes the RCA and attachments, the CCM shall
review and approve the request before submission to the MCA.
Special emphasis shall be given to the justification and
explanation for the request and the attached documentation
supporting the accuracy of the estimated inmate-days and costs.
4.2.6. MCA REVIEW
The MCA shall review the content of the RCA and attachments for
approval. Special emphasis shall be given to the following:
! justification for need;
! inmate-day projections and the supporting attached
documentation; and,
! fiscal data.
The MCA shall ensure all RCAs for procurements over $25,000 but
less than $500,000 have the appropriate Individual acquisition
Plan (IAP) form(s) attached. For procurements actions of
$500,000 or more the Advance Procurement Plan (APP) will be
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completed by central office contracting staff. The RCA package
shall be mailed to the CCRA in a timely manner, ordinarily within
five working days of receipt.
4.2.7. CCRA REVIEW
The CCRA shall review, sign, and date the RCA package. The
signature of the CCRA not only signifies review and approval of
the content, but also "commits" funds for the proposed contract.
The CCRA shall mail the RCA package to the Community Corrections
Branch in the Central Office in a timely manner, ordinarily
within five working days of receipt.
4.2.8. CCA REVIEW
CCA staff will review the RCA package prior to forwarding it to
the CO. Special emphasis will be placed on inmate-day estimates
and the completion of required APP forms. Upon verification, the
RCA package is forwarded to the Community Corrections Contracting
Section and ordinarily within seven working days after receipt by
CCA staff, copies of the RCA will be forwarded to field staff.
If changes are made to other documents in the RCA package, CCA
staff will forward copies with the completed RCA.
4.3: SOLICITATION PREPARATION
This section covers the major steps in the contract solicitation
process that are the COs responsibility.
4.3.1. WAGE DETERMINATION - SERVICE CONTRACT ACT
Sixty days prior to solicitation issuance, the CO must file a
Notice of Intention to enter into a Service Contract with the
Office of Special Wage Standards, Employment Standards
Administration, Department of Labor (DOL). The wage
determination issued by DOL shall then become part of the
solicitation package or resulting contract. Per the
DOL: service contract personnel for CCCs are not ordinarily key
or professional staff; maintenance, food service, clerical, shift
or charge-of-quarters, and correctional staff are ordinarily
service employees. Since the DOL has sole enforcement authority
and responsibility to ensure these standards are met by the
contractor, all inquiries Bureau staff receive should be referred
to the local DOL office.
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4.3.2. COMMERCE BUSINESS DAILY
The CO must forward a synopsis of the requirement to the
Commerce Business Daily (CBD) when the estimated amount exceeds
$25,000. This notice must be published at least 15 working days
prior to issuing a solicitation after allowing 10 days for
receipt by mail. For purchases over $2,500 but less than
$25,000, a synopsis of the requirements issued under a Request
For Quotes (RFQs) may be published in the CBD to satisfy
competition requirements, if sufficient sources of competition
have not been identified.
4.3.4. STANDARD SCHEDULE OF EVENTS
The CO shall establish an estimated time schedule of events for
the rest of the contracting cycle within 10 working days after
forwarding the synopsis to the CBD (Attachment 4-2). Although
copies of this schedule are not ordinarily distributed, the CCM
or COS may telephonically or using BOPNet GroupWise E-mail,
contact the CO to inquire about the status of a particular
solicitation.
4.3.4. ISSUE SOLICITATION
After the 60 day DOL wage rate determination request cited above,
and concurrent 25 working day CBD publicizing requirements have
been met, a solicitation shall be prepared and mailed to all
interested offerors requesting an original and three copies of
the technical proposal and an original and four copies of the
business proposal. A copy of the solicitation shall be mailed to
the appropriate CCM and to the AAC. The CCM and COS should
review the solicitation to ensure the requirements described in
the RCA and attachments have been accurately addressed. Special
emphasis should be placed on inmate-day requirements, geographic
location, and requested modifications to the SOW. If
discrepancies are identified, the CCA and CO should be notified
immediately and the solicitation should be promptly amended.
Ordinarily, the solicitation shall provide for a period of 60
days for offerors to respond. The amount of time allowed shall
be adjusted for any special or unique circumstances of the
requirements.
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4.4: EVALUATION PROCESS
4.4.1. RECEIPT OF PROPOSALS
Proposals shall be date and time stamped immediately upon
receipt by the CO. The CO shall review proposals for
completeness, and store them in a secure place.
Within five working days of the closing date, the CO shall contact
the Central Office Community Corrections Branch to determine which
staff will chair the evaluation panel and to ensure copies of each
technical proposal and a copy of the solicitation are provided to
the members of the evaluation panel. The staff person assigned to
chair the evaluation panel shall not have direct supervisory
authority over, or be a member of the CCM office, from which the
original contract request originated.
When there is only one offeror, the designated chairperson may
perform an individual technical review rather than convening an
evaluation panel. The technical review will assess those items
needing further clarification, as well as any deficiencies. When
only one offeror is to be evaluated, the chairperson may have
direct supervisory authority over, or be a member of, the CCM
office from which the original contract request originated.
It is the evaluation panel chairperson's responsibility to ensure
compliance with evaluation process procedures and required time
frames.
4.4.2. PRELIMINARY SITE SURVEY
Upon receiving the proposal(s), the chairperson shall contact
the appropriate CCRA who shall appoint the membership of the
preliminary site inspection team. Ordinarily the team will be
composed of the COS located in the CCM office that will
administer the contract and the RSS. The chairperson shall
contact the members of the inspection team via BOPNet GroupWise
E-Mail, with copies routed to the CCRA, CCA, MCA, CCM, and CO,
requesting the preliminary site surveys be conducted within 15
working days. Within two working days, the chairperson shall
review the offeror's proposals and forward copies of documents
pertinent to the preliminary site survey (diagram/floor plan,
proof of valid right-to-use, notification to public officials and
the community) to all members of the inspection team, for review,
prior to the team's on-site inspection(s). All preliminary site
inspections should be videotaped and forwarded to the panel
chairperson for use by the evaluation panel.
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The chairperson's message to committee members for preliminary
site inspection should also include a request that the inspection
team forward their travel information (date and time of arrival,
inspection, and departure) to the CO and panel chairperson in the
event they can attend/participate in the facility inspection(s).
Within five working days of the site visits, the COS and RSS
shall distribute their written reports (COS PRELIMINARY SITE
INSPECTION REPORT (Attachment 4-3) AND RSS PRELIMINARY SITE
INSPECTION REPORT (Attachment 4-4)) via BOPNet GroupWise E-Mail.
If the facility is not acceptable, the site report shall outline
rationale for this determination.
This report will cover the:
# age, condition and suitability of the structure,
# the location of the site, including availability of public
transportation,
# fire safety compliance,
# overall sanitation and the need for repair and/or renovation
of the building,
# community and any other information that might be relevant
for the evaluation panel's consideration.
Preliminary site surveys are required for incumbents as well as
single offerors.
The CCRA may waive a pre-occupancy inspection for incumbent
contractors. The first full inspection (60 to 90 days after
award) would serve as a dual pre-occupancy/full monitoring. The
waiver should be in writing and documented in the contract file.
4.4.3. EVALUATION PANEL - FOR COMPETITIVE PROPOSALS WITH
MULTIPLE OFFERORS
4.4.3.1. Meeting Time and Panel Composition
The chairperson, ordinarily the panel member from the Central
Office Community Corrections Branch, shall establish in writing
the composition of the panel to evaluate the proposals and the
time and date when it shall meet. The panel shall
consist of the chairperson and at least two other Bureau staff,
at least one of whom shall work in Community corrections. The
panel will generally consist of the chairperson, the CO, and a
staff person designated by the CCRA. The panel chairperson shall
contact the CCRA, over the service area, and ascertain the name
of the designated panel member from the field. The evaluation
should be completed within 25 working days of the receipt of
proposals.
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The MCA and CCM office staff who will have supervisory authority
or will be responsible for administering the contract may be
members of the panel.
4.4.3.2. Panel Proceedings
The evaluation panel members shall use the evaluation criteria
identified in the solicitation, to include an evaluation of each
contractors past performance, to evaluate all proposals.
Impartiality and comprehensive evaluation by the panel is crucial
to select the source whose proposal has illustrated the highest
degree of realism and whose performance is expected to best meet
stated government requirements.
Each member shall make an independent evaluation of every
proposal using the evaluation checklist and scoring sheet.
Following the independent evaluation, the panel members shall
hold discussions and arrive at a consensus. The consensus
finding shall be recorded on a separate score sheet.
4.4.3.3. General Instructions
The proposal evaluation process consists of an assessment of both
the proposal and the offerors ability (as conveyed by the
proposal) to successfully accomplish the prospective contract
within the specified evaluation criteria. Each proposal must be
judged by the same standards, factors, and subfactors specified
in the solicitation.
4.4.3.4. Determining the Competitive Range
To be acceptable, each proposal must describe a level of service
that meets the minimum technical requirements of RFP and
standards of the SOW. If it appears that the proposals are
unacceptable the evaluations should identify any areas that need
clarification, areas that are deficient, and any requirement
excesses. The notes regarding these issues will be used during
negotiations with the offerors.
If the proposed program does not meet minimum standards without
extensive revision, this fact must be noted in the evaluation
narrative. The written notes will support a
recommendation to exclude the proposal from any further
consideration for specific reasons, such as severe technical
deficiencies, failure to address the SOW, parroting the SOW, or
the need for a major rewrite.
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After the panel has evaluated and scored the proposals, the panel
may recommend a competitive range. That is, the panel may
determine a break exists between the high and low range of
scores, and recommends the low group be removed from the
competitive range. For example, there are five offerors and the
scores are 525, 625, 310, 570 and 385. A natural break occurs at
525 and the panel could recommend the two lowest scoring offerors
not be considered in the competitive range. Reasons include: a
(complete) lack of understanding of the requirements of the RFP
is indicated in a company's proposal or the proposed program
could not be accepted without a substantial rewrite of the
proposal. In such situations, however, the panel still addresses
the weaknesses and strengths of the proposals recommended for
exclusion from the competitive range.
Although a deficient proposal usually may not be included in
further discussions, it is the CO who must make the determination
and establish the competitive range. FAR 15.609 states, "The
competitive range shall be determined on the basis of cost or
price and other factors stated in the solicitation and shall
include all proposals that have a reasonable chance of being
selected for award." This provides a broad area of consideration
by the CO who ordinarily welcomes evaluators providing narrative
information in this area.
If there is a close grouping of scores, it is best to recommend
all offerors be kept in the competitive range. For
example, if the scoring was 515, 485, 390, 545, 410, it may be
determined the scores are so close together they should all
continue to be considered.
Panel members should avoid the words "responsive," "responsible,"
or "responsibility," when discussing an offeror's proposal. These
words have a special technical meaning in procurement and usually
are not relevant to negotiated contracts. Rather than convey an
offeror is "non-responsive," indicate the proposal has severe
technical deficiencies and/or is unacceptable as submitted by
failing to meet minimum requirements and no reasonable chance for
award.
4.4.4. PANEL FINDINGS
The panel chairperson will prepare a detailed narrative summary of
the panel findings to include:
# identification of deficiencies;
# clarifications, or excesses identified in the evaluation
process for each proposal; and
# a consensus score sheet.
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This summary or evaluation of proposals should include all of
the issues or areas that are deficient or need to be clarified
during negotiations with the offeror.
Within five working days of the panel evaluation, the chairperson
shall forward the original site inspections, score sheets,
comments and worksheets, and proposals to the CO. The
chairperson may maintain a copy of the panel documents and a copy
of each proposal, for reference, until award of the contract.
After contract award, all proposals are forwarded to the CO.
4.4.5. NOTIFICATION OF OFFERORS NOT IN THE COMPETITIVE RANGE
After receiving the panel findings, the CO shall establish the
competitive range and promptly notify in writing all unsuccessful
offerors of the reasons they were not selected. Examples of
appropriate reasons include: technically unacceptable, falling
outside the competitive range, etc.
A pre-award notice should include: the basis for the
determination, in general terms, and a statement that a revision
of the proposal shall not be considered.
4.4.6. NEGOTIATION WITH OFFERORS IN THE COMPETITIVE RANGE
The CO should either make an award without discussion based on the
initial proposals or conduct written or oral discussions with all
acceptable offerors. The latter can be accomplished when the
requirements of FAR 15.610 are met and recommended by the SSO.
If negotiations are to be conducted, the CO should advise the
offerors of any areas that need clarification, or any
deficiencies in the proposals. The CO shall conduct negotiations
on the areas identified as deficient and provide the offerors an
opportunity to satisfy the government’s requirements. The CO
shall attempt to resolve any contradictions, uncertainties, or
ambiguities concerning technical matters or other terms and
conditions of the proposal.
The CO should provide offerors a reasonable opportunity to submit
any revision to cost or pricing, technical, or any other matters
resulting from the discussions. During negotiations, the
CO will forward the offeror's responses to CCA staff for review
and response. At the conclusion of negotiations, the CO should
request offerors to submit a "Best and Final Offer" to the
government, ordinarily within two weeks, unless special
circumstances warrant additional time.
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Only the CO may discuss panel findings, costs, or negotiate
with any offeror. No one, other than the CO, shall hold
discussions with offerors.
Offerors shall be advised they must clearly identify in writing
what changes or additions have been made and where they are
located within the proposal. If during discussions substantive
changes of the original proposals occur, the SSO may, if
necessary, contact the panel chairperson and members, and convene
a second evaluation panel.
4.4.7. PRE-AWARD FISCAL AUDIT
If the reasonableness of the proposed contract cost cannot be
determined from adequate competition, a cost price and/or
analysis of the offeror's cost data by the CO may be necessary.
FAR Part 15 establishes dollar thresholds for determining when
pre-award audits are required. It is the CO's responsibility to
arrange for all required audits.
If the dollar thresholds for requiring an audit are not met,
reasonableness of cost may be determined through cost analysis.
When cost analysis is used, procedures prescribed in FAR Part 15
shall be followed and the file shall be fully documented.
4.4.8. CO REVIEWS BEST AND FINAL OFFERS
Within five working days after receipt of Best and Final
Offers, the CO shall score each proposal for cost and forward the
package to the SSO for review.
4.4.9. FINAL REVIEW AND AWARD SELECTION
The Central Office SSO shall conduct a final review of all
proposals and provide the CO with a selection for award based
upon the findings of the evaluation panel, clarification and
deficiency correspondence, and Best and Final Offers.
The name of the awardee, a summary of the reasons for the
selection and all paperwork received, shall be returned to the
CO.
4.4.10. CO REVIEW
The CO shall review the action taken by the SSO and document
the file for further processing.
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4.4.11. PREPARATION AND DOCUMENTATION OF FILES
The CO shall prepare and document the solicitation file and
establish a separate contract file for the contract proposed for
award. The contract file shall contain the information
prescribed by FAR 4.803.
4.4.12. AWARD CONTRACT
When all requirements have been met, the CO shall execute the
contract and advise the CCM and awardee by telephone of the award
and performance period, reminding the contractor of the need for
proof of zoning and life/safety compliance. Ordinarily, the
beginning of the contract performance period is 120 days after
the date of award.
The CO shall electronically advise the CCA, CCRA, MCA, RSS, and
CCM of the award, award date, and performance date and ensure a
copy of the successful offeror's proposal is forwarded to the
CCM who has supervisory authority over the contract. The CO
shall advise the COTR, typically the CCM, in writing, of their
appointment as the COTR and describe the responsibilities of the
appointment. The CO, with the assistance of the Legal Counsel
and the COTR, will determine if the contractor has sufficiently
met local requirements prior to performance.
4.4.13. PROOF OF ZONING
At best and final, the contractor must provide the CO with
satisfactory proof all zoning and local ordinance requirements
necessary for operation and applicable to any proposed
performance site(s) have been met. Such proof shall be in
writing and shall consist of documentation from necessary local
officials stating the contract may be performed at the proposed
site(s) in accordance with the current zoning and other
requirements of the local jurisdiction.
For purposes of this provision, a "necessary local official" means
an employee or elected person whose approval or concurrence as to
the propriety of the use of the proposed site is required under
any and all applicable laws of the city, town, village, or
municipality in which the facility is located.
4.4.14. PREOCCUPANCY VISIT
Not later than 15 days prior to the date performance is scheduled
to begin, the COS shall conduct a preoccupancy visit to ensure the
contractor is ready to begin operations. When the RSS
has not identified major deficiencies during the preliminary
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sitesurvey and upon receipt of a written determination from the
RSS that his or her expertise is not required during the
preoccupancy inspection, the CCRA may waive the RSS'
participation. Special emphasis shall be given to negotiated
items during the preoccupancy review. This review shall
determine if the awardee is ready to accept offenders.
CCRAs may waive a preoccupancy inspection for incumbent
contractors. The decision to waive a preoccupancy inspection
should be based upon a determination the awardee has met the
minimum procurement/contractual requirements necessary to accept
Federal offenders. The waiver will be in writing from the CCRA
and documented in the contract file. The first full inspection
(60 to 90 days after award) would serve as a dual preoccupancy/full monitoring.
Immediately following the review, the COS shall prepare a report
(Attachment 4-5) and forward it electronically to the CO with
copies to the RSS, CCM, MCA, CCRA, and CCB Section Chief. Any
major deviations found must be corrected before Federal offenders
are placed in the facility. The COS will follow
through to ensure deviations are corrected. (If the effective
date of contract performance is the same date as contract award,
a preoccupancy visit is not possible.) When this occurs, the
inspection will be performed within 30 days of award. The
findings of the visit will be outlined in the monitoring report
letter format (see Attachment 4-6) and issued by the CCM to the
contractor for a response.
4.4.15. DISTRIBUTION OF CONTRACTS
The CO shall forward a copy of the Contract Award Document
(SF-26 or SF-33) to the contractor, CCA, CCRA, MCA, CCM, and RC
pay station) within three working days after final contract
award.
Along with the Contract Award Document, the CO shall also forward
copies of each of the following documents to the COTR who has
supervisory authority over the contract:
# the awardee's technical proposal;
# all solicitation amendments;
# clarification/deficiencies correspondence; and
# best and final offers (CO's letters and awardee's
responses).
It is imperative the COTR and the COS familiarize themselves
with:
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# the contents of any amendments to the solicitation;
# correspondence received during the periods for
clarification/deficiencies; and,
# best and final offers.
4.5.: POST AWARD ADMINISTRATION
4.5.1. GENERAL
Once a contract has been awarded, the contract administration
phase begins. Contract administration is any administrative
activity undertaken by either the government or the contractor
during the time from contract award to contract close out. More
specifically, the term refers to steps taken by the government
representative(s) responsible for ensuring government and
contractor compliance with the terms and conditions of the
contract. Such steps include:
# all performance (inspection) monitoring activities,
# modifications,
# actions pertaining to disputes,
# unsatisfactory contractor performance, and
# price redetermination.
Contract administration also includes problem solving
activities necessitated by unforeseeable circumstances - changes,
problems, and disagreements that arise following contract award.
4.5.2. MONITORING REQUESTS FOR CONTRACT ACTION
The CCM is responsible for ensuring RCAs are submitted in a timely
and appropriate manner. The CCM and MCA shall develop a
record system to monitor the timely submission of RCAs for all
Community corrections contracts. Lists can be generated from the
Contract Location Profile System (CLPS). The CCRA shall ensure
the MCA and the COTR have a system to alert them when requests
are due. The MCA and CCRA shall review all RCAs and attachments,
except those to exercise option years, for accuracy and
completeness.
4.5.3. MANAGEMENT OVERSIGHT
The COS shall provide the CCM with an annual schedule of full
and interim monitorings of contract programs. The MCA shall
monitor full and interim reviews conducted by CCM offices for
timeliness, professionalism, content, and procedural propriety.
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The CCRA shall develop appropriate mechanisms to oversee the
auditing functions of the MCA.
The COS annual schedule should also include the projected month(s)
in which preliminary site and preoccupancy visits are anticipated
for new or replacement contracts. Since the RSS will
ordinarily be involved in these site visits, providing him or her
with a copy of this schedule can be beneficial for planning
travel and meeting the milestones the CO established for contract
award.
The CCRA may waive a full monitoring with justifiable cause;
however, this waiver should not be more than 30 days.
Additionally, the CCM may make a request in writing through the
MCA to the CCRA to waive an interim monitoring. This waiver
request will be based on a determination that it is in the best
interest of the Bureau, and the contractor has demonstrated that
they are fulfilling the conditions of the SOW with few
deviations.
The monitoring of contract programs should be scheduled to
maximize the time oversight staff are away from their office and
thereby minimize the total cost of their travel. The contract
monitoring schedule provides oversight specialists with a
significant amount of flexibility to accomplish these two
critical goals.
4.5.4. CONTRACT FILES
4.5.4.1. Official Contract File
The official contract file is maintained by the CO in the Central
Office in accordance with the requirements of procurement
statutes, policy, and procedure. This file documents the basis
for the acquisition and award, the assignment(s) of contract
administration tasks, and any subsequent actions taken by the
contracting office.
4.5.4.2. CCM Office Contract File
The COS shall maintain working files, commonly referred to
as the "CCM Contract File" for each contract. Occasionally, some
contracts may have multiple locations. Then, supplemental
contract files shall be prepared for each location. Each
supplemental file need not contain the same basic contract
information (proposals, SF-26, etc.), but should contain all
relevant information pertaining to that particular location.
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Additional files shall be used as necessary.
The contract file shall contain the following documents:
a. Table of Contents or Index which clearly indicates where
required information can be located in the file(s);
b. A copy of the RCA, attachments and any modifications;
c. A copy of the contract award document (SF-26 or SF-33)
or PO, contractor's proposals (business and technical) and
attachments, a copy of the solicitation (includes SOW) with
amendments, clarification/deficiency correspondence, and best and
final correspondence;
d. Monitoring Instruments with "working papers," letter
reports, contractor responses and close out letters;
e. A historic chronological log of all activities, with
regard to the contract on a continuous, systematic, routine
basis, and correspondence;
f. Life/Safety Reports, NCIC/NLETS checks, Pre-Occupancy
Report, Preliminary Site Inspection, etc.;
g. Fiscal Data (facility billings, medical billings, etc.);
and,
h. Automated Data Processing Contract Information.
A copy of the Public Voucher for Purchases and Services Other
Than Personal (SF-1034) and original invoice information
received from a contractor must be retained (archived) for
historical purposes (see Section 4.5.15. CONTRACT CLOSURE).
4.5.5. CONTRACT PROGRAM MONITORING
Ordinarily, the CCM is the COTR (certified in accordance with DOJ
and Bureau policy) and the COS acts as contract monitor. On
occasion, the Bureau may place a COS on-site to monitor contract
compliance. Then, the COS will typically be the COTR. COS staff
are responsible for monitoring contractor compliance with the
requirements contained in the SOW. COS staff must provide their
supervisors and the CO with comprehensive and accurate
information concerning a contractor's performance. Bureau staff
in the CCM office perform "technical direction" responsibilities
for work performed under contracts.
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4.5.5.1. The term "technical direction" is defined to
include, without limitation, the following:
a. Government guidance of a contractor's efforts toward
full compliance with the contract SOW;
b. Redirecting the contract performance effort;
c. Shifting work emphasis between areas or tasks;
d. Filling in details;
e. Otherwise accomplishing the actual scope of work;
f. Supplying information to the contractor which assists in
the interpretation of technical portions of the SOW;
g. Receiving, reviewing, and inspecting reports and
information provided by the contractor to the government under
the contract; and
h. Evaluating the performance and certifying all invoices
for payment.
4.5.5.2. Technical direction must be within the general
scope of work stated in the contract. The contract monitor does
not have authority to issue any direction which:
a. Constitutes an assignment of additional work outside the
general scope of the contract.
b. Constitutes a change as defined in the contract clause
entitled "Changes."
c. Changes any of the expressed terms, conditions, fixed
price, or time for contract performance. Only the CO shall, by
written modification, authorize any such revisions.
4.5.6. MONITORING INSTRUMENTS AND SCHEDULES
There are monitoring instruments and schedules for different types
of contract services. These instruments are designed to
assist Bureau staff in making thorough program evaluations based
on contract requirements as detailed in the SOWs. The Bureau can
only require compliance with items that are provided for in the
contract, and may only make suggestions in other areas.
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Contract monitorings are "inspections" or "reviews" as
described below:
4.5.6.1. CCCs
a. The first full monitoring of all new CCC contract awards
shall occur not less than 60 days nor more than 90 days after
performance begins, all subsequent interim and full monitorings
will follow regularly scheduled time frames as noted in Table 1:
TABLE 1
MONITORING SCHEDULE FOR CCCs
TYPE OF ADP PRIOR SIX NUMBER OF FULL NUMBER OF
FACILITY MONTHS MONITORINGS INTERIMS
BETWEEN FULLS
MINOR 0 - 15 1 EVERY 18 MOS 2
MODERATE 16 - 30 1 EVERY 12 MOS 2
MAJOR 31 & OVER 1 EVERY 12 MOS 3
b. full monitoring of major-use (average daily population
of 31 or more offenders the previous six months) and moderate-use
CCCs (average daily population of between 16 and 30 offenders the
previous six months) shall be conducted annually.
This inspection shall be a thorough, comprehensive review of the
contractor's operation. It shall include a close examination of
every facet of the contract's requirements.
Ordinarily, the inspection team shall consist of the CCM/COTR
(Auditor-In-Charge), the COS, and any additional staff identified
by the CCM, MCA, or CCRA. U.S. Probation staff should
be invited to attend CCC full monitorings. "Working papers" are
the handwritten notes, etc., and duplicated documents which shall
form the basis of the Contract CCC Full Monitoring Instrument
(Attachment 4-7). Although the majority of the items contained
in this instrument are applicable for all CCCs, additions and/or
deletions to this monitoring instrument may be necessary
depending on the requirements contained in the SOW. The Auditor-in-Charge is responsible for ensuring the monitoring instrument
adequately addresses the requirements contained in the SOW.
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Because of the possibility of contract dispute or need to further
explain the findings of monitorings, it is important all sections
of the monitoring instrument be complete, comprehensive, and
legible. No blank spaces shall appear on the instrument.
These papers shall be maintained in the CCM Contract File for the
life of the contract.
Normally, the contractor is notified in advance of all regularly
scheduled full monitorings. This notification is
commonly accompanied by a request to have the contractor forward,
in advance of the monitoring, documentation that specific
requirements of the contract are being met. In addition, office
logs, files of offenders and SENTRY data can be examined in
advance and included in the contract monitoring working papers.
The monitoring report to the contractor shall be composed of
findings extracted from the monitoring instrument and supported
by the working papers. The format of the report to the
contractor shall follow the Monitoring Report Format (Attachment
4-6).
c. Full monitorings of minor-use CCCs (average daily
population of 15 or less offenders for the previous six months)
should be conducted every 18 months. They shall be performed
exactly as outlined above in (b).
d. The full monitorings of all CCCs shall be supplemented
with unannounced interim review monitorings, ordinarily conducted
by the COS.
Interim reviews of major-use CCCs shall be conducted at least
three times between each full monitoring, and at least two times
between each full monitoring of a moderate-use or a minor- use
CCC. Interim monitorings shall include, but are not limited
to, an examination of findings noted in the prior monitoring or
review, "spot checks" of historically problematic areas, and any
other significant areas of concern. Interim reviews are not
intended to be as thorough and comprehensive as a full
monitoring.
e. Monitorings of contract facilities shall not be
conducted exclusively during regular daytime working hours. Many
program activities occur during evening hours and inmate
accountability and facility life safety precautions are important
at all times. Therefore, the monitor(s) must review operations
of CCCs during all hours to observe programs, accountability
procedures, and have opportunities to speak with a significant
number of inmates and CCC staff.
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f. Findings of CCC full monitorings shall be recorded on
the standard Monitoring Instrument. Interim reviews shall be
recorded on the standard CCC Interim Monitoring Instrument
(Attachment 4-8). Interim review reports to the contractor can
be in letter form and do not have to follow the format for full
monitoring reports as specified in Attachment 4-7. Findings (if
any) shall be clearly identified, with clear, concise, and
appropriate corrective action outlined. Unless the nature of
findings dictate otherwise, interim review reports are not
ordinarily as extensive as those for full monitorings.
g. All reports shall be addressed to the contractor's
authorized representative identified in the business proposal, or
any other subsequently authorized contractor personnel, and shall
require a response to areas found non-compliant (Findings) within
30 days of receipt, unless the issue(s) warrant a more immediate
response. The contractor's response must indicate all areas of
non-compliance have been corrected or must include a plan, with
acceptable timetables, to correct the findings identified.
h. As soon as possible, but ordinarily within 10 working
days of a full or interim monitoring, the COTR shall sign and
forward the cover letter and attached monitoring report to the
appropriate contractor representative. Copies of the documents
provided to the contractor will be mailed to the following Bureau
staff: MCA, CCRA, and CO through the CCA.
Supervisory reviews of monitoring reports, cover letters, etc.,
prior to their being mailed to the contractor, are at the
discretion of the MCA and CCRA.
Copies of the CCM's report on joint use non-Bureau contracts
(USMS, INS, or other "piggyback" contracts) shall not be
forwarded to the Central Office Procurement and Property Branch.
i. Upon receiving the contractor's response to the
monitoring report, the COTR shall prepare and forward a response
to the contractor in a timely manner. Ordinarily, this response
shall be mailed within five working days and "close out" the
monitoring. Monitorings are considered closed when the
contractor's written response has indicated all findings have
been corrected, or, acceptable plans with appropriate time frames
have been outlined to correct findings.
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A copy of the contractor's response to all monitoring reports
shall be attached to the COTR's follow-up response and copies
shall be distributed to Bureau staff as noted above in item h of
this section. Copies routed to the CCA shall be
reviewed prior to routing to the CO for review and filing in the
official contract file.
4.5.6.2. Contract Confinement Facilities
BOP Contracts
a. Ordinarily all jail and long-term adult confinement
facilities will be inspected prior to the contract being
initiated and/or activated.
The contract "status" assignment code for these contracts will be
active (A) unless the contract has expired or it has been
terminated. When in active status, the contract "inspection
required" assignment code will be YES (Y) unless no Federal
offenders are currently confined or expected to be confined at
the facility over the next six months.
When inspections are required for active contract confinement
facilities, they will be scheduled as noted below in Table 2:
TABLE 2
MONITORING SCHEDULE FOR JAILS AND LONG-TERM
ADULT FACILITIES
TYPE OF ADP PRIOR SIX NUMBER OF FULL NUMBER OF
FACILITY MONTHS MONITORINGS INTERIMS
BETWEEN FULLS
MINOR 0 - 49 1 EVERY 12 MOS 0
MAJOR 50 & OVER 1 EVERY 12 MOS 1
b. Additional program oversight shall be initiated
commensurate with larger Bureau populations. Facilities with
larger populations ordinarily have an on-site COS. In those
cases, the COS shall be the COTR and full monitoring teams may be
comprised of Regional Office staff (i.e., Inmate Systems Manager,
Correctional Services, Programs, etc.).
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c. When a facility has not been used for an extended period
of time (six months or more), every effort should be made to
visit/monitor the facility prior to the arrival of the next
designated offender. A visit/monitoring is mandatory for those
inactive facilities within 30 days of the designated inmate’s
arrival or a U.S. Marshal’s inspection report is required
demonstrating the facility has been reviewed within the last 12
months.
d. Contract juvenile facilities in use shall be monitored
following the same type and frequency of review as outlined for a
major, moderate, or minor use CCC, depending on use.
e. A number of correctional systems process offenders
through a "diagnostic" center or facility prior to the
offenders initial designation to a permanent facility. When used
by the contract agency, diagnostic units, through which all
offenders must be initially processed and evaluated, should be
visited during each full monitoring, or at a minimum of once
every 12 months.
f. When a contract confinement facility also has a work
release program which is the predominant use, the frequency of
monitorings shall follow those outlined for CCCs. The monitoring
instrument however, should continue to be the appropriate
confinement checklist. During the monitorings of this type of
program, the contractor's procedures to verify inmate employment
and the system for general accountability of inmates while in the
community shall be closely examined and addressed in the report.
g. Contract confinement facility full monitorings shall be
recorded on the appropriate standard monitoring checklist (see
Attachment 4-9 and 4-10). Interim reviews shall be recorded on
the standard Contract Confinement Services Interim Monitoring
Report form (Attachment 4-11). Preparation of reports or letters
and distribution of materials shall be handled the same as for
contract CCCs.
Non-Bureau Contracts
a. These are contracts where the Bureau is listed as an
authorized user of another Federal agency's contract
("piggyback" agreements). The USMS contracts are an example.
b. Community corrections staff shall inspect all non-Bureau
contract facilities for suitability prior to placing inmates in
the facility. The suitability inspection will be coordinated
with the USMS. In addition to the Bureau staff inspection, the
CCM shall obtain a copy of the latest USMS monitoring report.
PS 7300.09
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Some U.S. Marshal’s rely on State inspections of contract jails,
if this is the case, a copy of the State inspection should be
obtained and maintained in the contract file. Duly authorized
State inspections of contract jails is an acceptable inspection
for BOP purposes. The suitability inspection shall be documented
in the contract file.
c. In addition to the suitability inspection, Community
corrections staff shall participate in a Joint Monitoring with
USMS staff, once every three years. A copy of all USMS
monitoring reports shall be maintained in the contract file.
Larger non-Bureau contracts may require additional program
oversight. At the CCRA's discretion, Community Correction staff
may accompany the USMS Jail Inspectors more frequently.
d. If Community corrections staff learn of serious
deficiencies at the facility, the concerns shall be communicated
to the USMS office. If deficiencies are not corrected, the
Bureau may choose not to use the facility. CCMs shall consult
with their MCAs and CCRAs in these cases. Community corrections
staff should not correspond directly with the contractor.
4.5.7. MONITORING AND EVALUATION OF CCC CONTRACT PERFORMANCE
Monitoring a contractor's performance should be viewed as a daily,
continuous, on-going, routine process and not limited to formal
monitoring trips to the facility. The COTR is responsible
for completing the Contractor Evaluation Form (CEF) “Report
Cards” (see Attachment 4-13). The contractor’s performance will be
evaluated at least two times during the life of the contract. The
first report card is required at the end of the two year base
period with a follow-up to be completed at the beginning of the
last option year when an RCA is submitted to the Central Office
for a replacement contract. Once each report card is completed,
it is sent to the contractor for comment. The contractor has 30
days to comment, rebut, and/or provide additional information to
the COTR. If the contractor disagrees with the rating, the
information will be reviewed by the MCA, who will consider the
comments made by the contractor and decide the final rating. The
MCAs decision must be in writing and completed within 15 days
from receipt of the rebuttal statement. The MCA is the final
authority. This contractor information will be used during the
evaluation panel process.
The maintenance of chronological worksheets in each CCM
Contract File emphasizes the importance of providing regularly
scheduled and unscheduled oversight of a contractor's
performance.
PS 7300.09
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The solicitation, which includes the applicable SOW, contractor's
business and technical proposals, all provisions of and
amendments to the solicitation, and any subsequent changes agreed
to during negotiations, Clarification & Deficiencies (C&Ds) and
Best and Final Offer(s)(BAFO(s)), establishes the contract.
The SOW outlines the government’s minimum requirements and takes
precedence over any contradiction in the contractor's proposal.
CCM office staff, ordinarily the COS, should carefully
review all documents for indications of any possible "waivers" or
"modifications" to SOW requirements that may have taken place
during negotiations.
When monitoring CCCs, the following are examples of issues to
keep in mind:
4.5.7.1. Administration
a. A review of the operations manual for the contractor's
policies concerning use of force, conflicts of interest, handling
funds, etc. should be accomplished.
b. The requirement contractors attend training meetings the
Bureau sponsors does not mean that one contractor in an area is
brought into another contractor's facility to view their forms,
procedures, etc., as a means of training. It means the
contractor shall attend Bureau-arranged training (normally held
every 12-18 months) either region-wide, or by management center,
at a central location.
c. Documentation is being maintained indicating facility staff
meetings are being held monthly to foster communication, discuss
problems, and ensure compliance with SOW requirements.
d. The contractor conducts internal audits annually with
written findings and planned corrective actions forwarded to the
COTR.
e. The contractor has documentation indicating searches of
the facility and personal belongings of the residents are being
conducted, at least once per month.
4.5.7.2. Personnel
a. The written job descriptions should be reviewed to
determine if they accurately describe the current duties being
performed by the respective employees and if the people in those
positions meet minimum qualifications as outlined in the job
PS 7300.09
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descriptions. The contractor should provide the full name, date-of-birth, race, sex, and social security number, for all new or
replacement staff, so integrity checks (NCIC/NLETS) can be
performed prior to their working with Federal offenders.
b. Additional background checks on contract staff need to
be performed when necessary (i.e., fingerprints, local law
enforcement checks, etc.). Bureau staff must verify the
information contained on the applications and resumes of CCC
staff of Program Director level or higher.
c. Staff integrity issues are critical. The contractor
should be training staff in this area frequently. There should
be a clear understanding by all contract staff as to what is and
is not appropriate.
For specific procedures regarding the receipt, handling, and
closure of CCC contract staff allegations of misconduct or other
integrity issues in connection with privately operated contract
CCC programs, see Attachment 4-12.
d. Persons under any correctional supervision are
prohibited from having anything to do with Federal offenders. If
the contractor wants to consider an individual for employment who
has a prior criminal conviction(s), but is not presently under
supervision, Bureau review and approval, on a case-by-case basis,
must take place before an individual performs any services under
the contract, to include having contact with Federal offenders.
e. The facility staffing pattern must be monitored closely
to ensure conformity with the terms of the contract. Special
emphasis should be placed on how long positions remain vacant and
what steps the contractor is taking to hire new staff.
f. Residents shall not perform work for the facility or be
used in lieu of paid workers.
4.5.7.3. Facility
a. The facility's location should not have an adverse
affect on the community or residents.
b. Adequate space, aesthetics, and facility services should
be examined.
c. Continued compliance with all zoning, building and other
codes must be ensured.
PS 7300.09
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4.5.7.4. Safety/Sanitation/Environmental Health
a. This area should be given careful inspection during
monitoring visits. Ensure bedding materials meet the applicable
code(s). Particular attention must be paid to sanitation, noting
general cleanliness in all areas, the frequency inspections are
made, and if a log of sanitation work assignments is kept and
available for review.
b. Evidence all inspections are occurring in a timely
manner should be reviewed.
c. The contractor shall be able to demonstrate and document
the ability to conduct fire evacuation drills at the facility.
d. Extension cords are not to be used in lieu of hard or
permanent wiring.
e. A written program is to be in effect and compliance is
to be maintained concerning the storage, issuance, handling, and
accountability of flammable liquids, hazardous chemicals, toxic,
and caustic materials used within the facility.
4.5.7.5. Referral and Intake Processing
a. The Federal Bureau of Investigation (FBI) will neither
issue fingerprint cards to non-government facilities, nor will
they accept cards from such facilities. Since fingerprints are
to be taken on all residents for identification purposes, the CCM
office must provide fingerprint cards to the contractor. The CCM
office forwards cards for Direct Court Commitments to the FBI (or
another government agency can do it if Bureau staff can make such
an arrangement). Centers operated by state correctional or
parole agencies should forward fingerprint cards to the FBI in
accordance with their own procedures.
Community corrections staff must assist private contractors in
locating a resource to take fingerprints, or when necessary, the
COS shall train contractor staff in the taking of fingerprints.
Other sources of possible fingerprint training are
the USMS, local police, or other law enforcement agencies.
Contractor staff must accompany residents when prints are taken.
Photographs and fingerprints are required on all Federal
offenders housed under a Bureau contract.
b. All Judgment and Commitment Orders are being executed
and distributed in accordance with Bureau policy.
c. The confidentiality of case records is being maintained.
PS 7300.09
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4.5.7.6. Programs
a. Examination of program components should be completed to
ensure appropriate privilege and supervision requirements are
followed.
b. Contractors must develop a network of community
resources to meet the needs of Federal offenders assigned to
their care. These resources must include a minimum of those
listed in the SOW for the contract facility. CCMs should
encourage the contractor to use volunteer groups and programs.
It is the CCMs' responsibility to ensure procedures used to
select and train volunteers follow the same standards of conduct
and screening procedures that apply to paid employees.
c. Resident files maintained at the CCC should be closely
reviewed to ensure each resident has a descriptive, written
program plan.
Case notes should clearly address a resident's progress in:
! employment,
! housing,
! substance abuse counseling, and
! other transitional or treatment needs.
d. Program subsistence collection procedures should be
reviewed. Special emphasis should be on:
! collecting appropriate amounts,
! following procedures to modify or waive the amount,
! internal control measures, and
! receipt and disposition of collected monies.
e. During all reviews, employment records of all Federal
residents should be closely reviewed.
f. Substance Abuse
(1) Offenders with a condition of drug aftercare or
history of substance abuse are required to be in drug counseling
while at the center, rather than waiting until they are released
from the CCC. Whenever possible, the resident should receive
counseling from the same person and/or agency the USPO requires
when released to supervision. The primary exception to this is
when the CCC has a specialized drug counseling program or
counselor that is an integral part of the contractor's program.
PS 7300.09
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(2) Contractors must meet with the USPO to develop a
counseling program for the resident with drug aftercare as a
condition of release.
If the contractor sets up a conference and the USPO
does not attend, then the contractor's responsibility is met.
The CCM, however, should contact the USPO to discuss this issue
since the USPS has agreed to assist our contractors in setting up
counseling sessions.
(3) Random urinalysis specimens should be taken at the
rate of one for every 10 residents or less per month; between 11
and 20 residents, two tests are required per month; between 21
and 30 residents, three tests are required per month, and so on.
The total number of residents upon which the rate should be based
should not include USPS cases. Residents with a drug aftercare
condition or a history of drug abuse should provide four
urinalysis specimens every month.
Residents who are members of disruptive groups shall be
administered a random urinalysis at least once per month.
All urinalysis specimens shall be taken on an unannounced,
surprise basis and tested for all drugs/substances noted in the
PRIMARY TEST PANEL included in the SOW.
(4) The COS is responsible for maintaining a file
containing the monthly urinalysis specimen report contractors
submit. A tracking system should be developed to ensure the
required number of urinalysis specimens are collected.
(5) In the urinalysis specimen program, contractors
are required to establish a procedure for the chain of custody
from the point of receiving the bottles, through mailing samples
to the laboratory. The COS must check this procedure to ensure
specimens are kept secure from all residents and other
unauthorized persons.
(6) The USPS is responsible for drug aftercare
services (urinalysis, alcohol testing, and counseling) for
supervision cases (those persons under supervision of the USPO).
g. Staff must review the contractor's method and plan of
issuing passes to determine:
! how soon after admission the first pass is issued;
! the length of time for a pass;
! if there is a graduated policy;
PS 7300.09
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Chapter 4, Page 41
! who signs the passes; and
! accountability during the pass period, etc.
h. The contractor is required to contact the USPO for
comments on passes and furloughs that have been recommended for a
resident. If the USPO does not respond after reasonable attempts
at communication, the contractor has met the requirement and
should proceed with the next step.
These attempts to contact the USPO should be documented. The
CCM should be alert to requests for furlough on Central Inmate
Monitoring (CIM) cases, checking on separatees, and
requesting clearance for any furlough outside the immediate area.
The inmate-day rate for residents in this status is
ordinarily 50% of the regular inmate-day rate.
i. The contractor should not reserve a bed for Home
Confinement residents.
The CCM should ensure the USPO is involved in the decision to
place an inmate on Home Confinement. The rate for residents
in this status is ordinarily 50% of the regular inmate-day rate.
j. The COS is responsible for providing necessary Bureau
forms to the contractor. These forms can be obtained through
normal ordering procedures. In emergencies, forms can be
obtained from a nearby Federal institution.
4.5.7.7. Discipline
a. Determine if current facility rules, regulations and
sanctions are acceptable and have been approved by the CCM.
b. Examine the discipline process and procedures to ensure
they meet the requirements of the SOW.
4.5.7.8. Services
a. Ensure food services are in accordance within the
Statement of Work and comply with all Federal, state and local
regulations for nutritional, well-balanced meals.
b. Examine availability of medical services and ensure
24-hour access to these services continues to exist. Appropriate
staff are to be trained in emergency first-aid and CPR.
PS 7300.09
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4.5.7.9. Records And Reports
a. The system should ensure privacy and eliminate
confidentiality concerns.
b. Appropriate records and reports are to be understood,
completed, and forwarded by the contractor.
4.5.7.10. Release Preparation
a. The contractor shall handle each release preparation
case appropriately.
b. The correct release documents shall be completed and
forwarded in a timely manner.
c. When release occurs, the contractor shall follow
termination requirements as outlined.
4.5.7.11. Escapes
Escapees shall be promptly identified and the contractor shall
make timely notifications.
4.5.7.12. Serious Illness, Injury, or Death of a Resident
The contractor shall handle any serious injuries or as
specified in the SOW. In all cases the CCM shall be promptly
notified.
4.5.7.13. Residents Under Supervision
The contractor shall have a clear understanding of the
implications of this legal status and differences in handling
these cases.
4.5.7.14. Research and Evaluation
The contractor shall consult with its staff and the CCM before
collecting data. This information is very important for
planning and analytical purposes.
4.5.8. CONTRACTOR TRAINING AND MANAGEMENT/TECHNICAL ASSISTANCE
One of the Bureau's goals is to increase the quality of contract
corrections provided to Federal inmates. CCM office
staff are responsible for providing on-going assistance in the
training of contractor staff. Assistance, however, in the form
PS 7300.09
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Chapter 4, Page 43
of Bureau training never relieves the contractor from its legal
obligation of providing fully compliant contract performance
during the entire performance period.
4.5.8.1. Training
a. On-Site CCM Training. At least annually, CCM office
staff shall hold either individual or group training sessions
with contract staff and provide an orientation to all newly
employed CCC staff at the contractor's facility, using Bureau or
outside resources. Staff must be aware of any self-contained
training packages the Bureau produced. Annual training shall
include:
! discipline,
! integrity,
! accountability,
! life/safety, and
! other relevant issues.
b. Each region shall hold a contractor training conference
or forum, on a Region-wide or Management Center level, every 18
months. This conference should focus on Management Center,
Regional and National Community corrections and other relevant
issues. Resource staff and guest speakers might include Federal
Judges and Probation Officers, the Director, Assistant Director,
and Regional Director, the CCA, and representatives from the
Bureau Procurement and Property Branch.
c. If key contractor personnel leave their positions, their
replacements must receive training within 90 days at the
contractor’s expense. Key personnel are the foundation of a
model CCC operation. Training programs help contract staff
better understand the Bureau's requirements and operations.
d. The CCM should document training given and to whom,
either by individual certificate or letter. This documentation
lends credence to the contractor's knowledge of Bureau
requirements and may be useful if inmates initiate litigation. A
copy of this training document shall be maintained in the CCM
Contract File. If the training program used an agenda it should be
attached. Be sure to document the use of any training resources in
the memo.
e. USPO Contacts. One of the most important aspects of a
contract CCC is its relationship with the USPS. It is the CCM's
responsibility to serve as a liaison between the CCC and the
local USPO. The CCM will help in solving problems that occur
between the USPO and the CCC and in some situations will work out
PS 7300.09
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Chapter 4, Page 44
a direct conflict between them.
PS 7300.09
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Chapter 4, Page 45
4.5.8.2. Management/Technical Assistance
Management/technical assistance is provided in the areas of
staffing, facilities, and programs.
a. Staffing
(1) Identify available training opportunities.
(2) Arrange visits to Federal institutions for
contract staff.
(3) Encourage contract staff participation in
professional organizations.
(4) Emphasize the importance of CCC staff training and
retention programs.
b. Facility
Ensure the contractor meets Bureau requirements regarding
safety, sanitation, permits, etc., in connection with the
facility and services.
c. Program
(1) Make sure contract staff are aware of available
state and local programs, such as mental health programs and
employment training and assistance.
(2) Assist contractors to develop student intern
programs that can aid in providing counseling services.
d. Reporting of Management/Technical Assistance
CCM office staff shall report, in writing, to the MCA and CCRA,
any management assistance they provide to any agency of the
criminal justice system.
4.5.9. AUTOMATED DATA PROCESSING REQUIREMENTS
The CLPS is an automated contract information system
maintained in the SENTRY database. This system provides
technical and descriptive information about contracts and is used
by all Bureau staff to locate facilities. In addition, it
provides community corrections staff with information on
monitorings, contract expiration dates, quotas, etc.
PS 7300.09
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Chapter 4, Page 46
Instructions for data submission and general use of the system
are contained in the Technical Reference Manual on SENTRY General
Use. It is essential that CCM office staff update the
information whenever contract resources are added, deleted,
inspected, or whenever the descriptive information is changed.
When USMS inspections of contract jails are made between Bureau
inspections, staff shall update the system to reflect the audit.
4.5.10. MODIFICATION OF SOW/CONTRACT
Modifications may be made to the SOW when certain additions or
deletions (within the scope of work of the existing contract) are
necessary and adjustments in the price or services are not
required. Modifications which are determined to be significant
changes to the SOW or requirements of the original contract can
jeopardize the remaining unexercised periods of performance
contained in the originally awarded contract.
If the COS believes it is advantageous to the government to modify
the contract, he or she must submit a RCA through the CCM, MCA,
and to the CCRA, who forwards it to the CO through the CCA.
4.5.11. OPTION YEAR CONTRACTS
Once the COS determines the need for continued CCC services with
an existing contract, the COTR shall submit an electronic request
to the Community Corrections Branch, the CCRA, and the MCA, to
exercise the next option year. The submission must be
completed four months in advance of the end of the performance
period.
For contracts in excess of $25,000 but less than $500,000, the
COS shall submit an Individual Acquisition Plan (IAP)along with
their request to exercise an option year.
For contracts over $500,000 CCB will complete and submit an
APP directly to the CO.
4.5.12. PERFORMANCE PROBLEMS
Any problems regarding contractor performance must be
thoroughly documented. Ordinarily, the contractor must be
notified of the problem(s) and given an opportunity to take
corrective action. This is characterized by the monitoring
process, but may occur anytime circumstances warrant such
notification/corrective action/follow-up measures.
PS 7300.09
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Chapter 4, Page 47
4.5.13. ADVERSE ACTION NOTICES
While informal resolution is always preferred, failure to meet
contract requirements require immediate attention and may, if
not corrected, necessitate an adverse action notice from the CO
or the COTR directing the contractor to cure the problem. Only
the CO, with concurrence of legal staff, is authorized to issue
an adverse action notice (Cure Notice). Ordinarily, this
notice is only issued when recommended by Community corrections.
The COTR may take an adverse action by withholding an appropriate
amount of funds from the contractor, under the Inspection of
Service Clause, FAR 52.246-4.
Withholding
When a contractor fails to perform in accordance with the
Statement of Work the COTR may withhold an appropriate amount of
funds from the contractor. In most cases, the performance
problems have been brought to the attention of the contractor
verbally, in monitoring reports, and through other
correspondence. A withholding of funds is usually the final
action before a cure notice is issued by the contracting officer.
Before the COTR sends the withholding letter to the contractor,
the circumstances should be discussed with the Central Office
Community Corrections Contracting Sections Chief. If all
concerned agree that the proposed withholding is appropriate the
COTR may send the withholding letter to the contractor.
Cure Notice
The CCM (COTR) must submit the request for a Cure Notice in
written memorandum and forward it, express mail, if necessary,
through the MCA, CCRA and CCA, to the CO. The request must be
very specific, thoroughly descriptive, and cite specific
provisions of the contract (chapter, page, and paragraph of the
SOW, proposal, etc.). A discussion outlining when the contractor
was notified of the problem; how much time was allowed to correct
the matter; and the state of the non-compliance with the terms of
the contract, as it currently exists, must be included.
If a reviewer (MCA, CCRA, CCA, or legal staff) or the CO find
the request unwarranted, a written explanation of the rationale
and recommended course of action(s) shall be returned to the
previous reviewer(s) and to the CCM, with the original request.
Copies of these documents shall be maintained in the
respective office contract files.
PS 7300.09
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Chapter 4, Page 48
After the CO issues a Cure Notice, and the specified time period
lapses, an on-site inspection is typically required to evaluate
whether the contractor has corrected the problem(s). A written
report of the findings of the inspection shall be provided to the
CO through the MCA, CCRA, and CCA. Failure on
the part of the contractor to correct the problem(s) may result
in termination of the contract.
4.5.14. TERMINATIONS
A recommendation for termination by the CCM shall be made only
after an appropriate Cure Notice has been issued by the CO, and
after legal staff and the CO have reviewed and concurred. A
termination is used after all other efforts have failed. All
termination requests the CCM submitted should be processed
through and have the concurrence of the MCA, CCRA and the CCA
prior to being forwarded to the CO.
4.5.15. CONTRACT CLOSURE
Upon expiration (or termination) of a contract, the CCM shall
forward a BOPNet E-Mail message to the CO, with copies to the
MCA, CCRA and CCA, that indicates:
a. the contractor has completed services under the contract
and all options have expired;
b. the date and number of the final invoice and when it was
received;
c. when the invoice was certified and forwarded for
payment;
d. the amount of excess funds (ordinarily one month's
accrual, if any) that need to be deobligated; and,
e. the voucher number* and date (these will appear on the
copy of the SF-1034 returned by the pay station).
[*This is the number assigned by the pay station before the
voucher is forwarded to Treasury for payment.]
Following contract closure, all original documentation not a part
of the official contract file should be mailed to the CO.
All other contract documents maintained in the CCM Contract File
may be destroyed.
PS 7300.09
10/28/04
Attachment 4-1, Page 1
REQUEST FOR CONTRACT ACTION (RCA)
(CO Use Only: RCA NO: RFP NO: )
1. Type of Action Requested (Check One):
a. New ( ) b. Replacement ( ) c. Modification ( )
If New or Replacement is checked, identify the following:
Type of Services:
Location - City: State:
County(s):
Statement of Work (SOW):
SOW page changes attached: yes ( ) no ( )
If Modification is checked, complete the following:
Contractor Name: Contract
Number: Location Code:
2. Justification and Explanation for this request:
3. Period services will be required: - - through - -
4. Fiscal Data
a. Accounting Code: _ _ - _ - _ _ _ - _ _ _ - _ _ _ - _ _ _
PS 7300.09
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Attachment 4-1, Page 2
b. Estimated Inmate-Days and Expenditures:
Contract Period(s) Inmate-days/Beds Cost Estimate
Per Capita Per Period
Base Period (Inmate-day)
(Total)
- - through M: / M: $ $
- - F: / F: $ $
Total: / Total: $
Contract Period(s) Inmate-days/Beds Cost Estimate
Per Capita Per Period
Option Year #1 (Inmate-day)
(Total)
- - through M: / M: $ $
- - F: / F: $ $
Total: / Total: $
Option Year #2
- - through M: / M: $ $
- - F: / F: $ $
Total: / Total: $
Option Year #3
- - through M: / M: $ $
- - F: / F: $ $
Total: / Total: $
5. Suggested Sources: Include complete address, contact person
and telephone number for each source provided. NOTE: If this is
a replacement requirement, asterisk the incumbent provider and
include their Contract Number, Location Code, Per Diem rate and
Expiration Date.
PS 7300.09
10/28/04
Attachment 4-1, Page 3
History
PS 7300.09 dated 1998-01-12
Provenance
- Source
- bop.gov
- Retrieved
- 2026-09-20
- Edition
- bop-ps-2026-09-20
- Content hash
2ded3ad73ec72992bbf7373f290e930b80276306674728aaa56807cf745f8fd3
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