BOP Program Statement 7740.02 § 4

■ American Correctional Association 2nd Edition Standards for the Administration of

Correctional Agencies: 2 -CO-1B-09

■ American Correctional Association 4th Edition Standards for Adult Correctional Institutions:

4-4038

■ American Correctional Association 4th Edition Standards for Adult Local Detention Facilities:

4-ALDF-7D-15

REFERENCES

Program Statements

P1221.66 Directives Management Manual (9/15/1997)

P1210.24 Office of Internal Affairs (5/20/03)

P1240.05 Records and Information Management Programs (9/21/00)

P3420.11 Standards of Employee Conduct (12/6/13)

P3906.21 Bureau Mandatory Training Standards (1/24/07)

P4100.04 Bureau of Prisons Acquisition Policy (5/19/04)

P5250.02 Public Works and Community Service Projects (10/2/00)

P1351.05 Release of Information (09/19/02)

Other References

Federal Acquisition Regulation (FAR)

Justice Acquisition Regulations (JAR)

Freedom of Information Act (5 USC 552)

Privacy Act (5 USC 552a)

BOP Forms

BP-A0583 Report of Incident

BP-A0586 After-Action Review Report – Use of Force/Restraints/Chemical Agents/

Non-Lethal Weapons

Records Retention Requirements

Requirements and retention guidance for records and information applicable to this program are

available in the Records and Information Disposition Schedule (RIDS) on Sallyport.

P7740.02 11/21/2014 5

P7740.02 11/21/2014 6

CONTENTS

Chapter 1. MISSION AND ORGANIZATION

101 Introduction..........................................................................................................................8

102 Abbreviations and Acronyms..............................................................................................8

103 Organization.........................................................................................................................9

104 PMB-Field Staff Positions...................................................................................................9

105 Professionalism..................................................................................................................10

106 PMB-Field Staff Work Schedules.....................................................................................10

Chapter 2. CONTRACTOR RELATIONS AND LIAISON ACTIVITIES

201 Introduction......................................................................................................................11

202 Release of Information.......................................................................................................11

203 Correspondence..................................................................................................................11

204 Contractor Correspondence...............................................................................................12

205 Public Affairs Issues..........................................................................................................12

206 Privatization Duty Officer (PDO)......................................................................................12

207 Contractor Training............................................................................................................12

208 Institutional Visitors...........................................................................................................12

209 Community Service Projects..............................................................................................13

210 Office of Internal Affairs (OIA) Processing......................................................................13

Chapter 3. PERSONNEL AND OFFICE MANAGEMENT

301 Introduction......................................................................................................................14

302 Staff Training.....................................................................................................................14

303 Equipment/Property...........................................................................................................14

304 Office Files/Records..........................................................................................................15

305 Meetings.............................................................................................................................15

306 Travel...............................................................................................................................15

Chapter 4. GENERAL CONTRACT ADMINISTRATION AND MONITORING

401 Introduction........................................................................................................................16

402 Transmittal of Contract Documents...................................................................................16

403 Contracting Officer’s Representative................................................................................16

404 Content of COR Files.........................................................................................................16

P7740.02 11/21/2014 7

405 Contractor Invoice and Payment Processing.....................................................................16

406 Contract Clarification Procedures......................................................................................16

407 Contract Monitoring...........................................................................................................17

Chapter 1. MISSION AND ORGANIZATION

101. INTRODUCTION. Private corrections has grown in complexity and scope throughout

the last decade, as evidenced by the increase in Federal offenders housed in non-Federal facilities.

PMB provides oversight of privately operated secure adult correctional facilities to ensure

appropriate and professional management and treatment of Federal offenders housed in contract

facilities.

Staff members must be skilled in a number of areas to accommodate the demands of the discipline,

such as contract development and administration, inmate management, public relations, personnel

management, financial management, and project management.

102. ABBREVIATIONS AND ACRONYMS

AA Administrative Assistant

BPAP Bureau of Prisons Acquisition Policy

Bureau Bureau of Prisons

CFM Contract Facility Monitoring Section

CO Contracting Officer

COR Contracting Officer’s Representative

CPARS Contractor Performance Assessment Reporting System

CPD Correctional Programs Division

DOJ Department of Justice

DSCC Designation and Sentence Computation Center

EOIR Executive Office for Immigration Review

FAR Federal Acquisition Regulation

FDO Fee Determination Official

FOIA/PA Freedom of Information Act/Privacy Act

Government United States Government

ICE Immigration and Customs Enforcement

IHP Institution Hearing Program

ISS Inmate Systems Specialist

JAR Justice Acquisition Regulation

JPATS Justice Prisoner and Transportation Services

LBI Limited Background Investigation

LOI Letter of Inquiry

NCIC National Crime Information Center

NLETS National Law Enforcement Telecommunication System

P7740.02 11/21/2014 8

NOC Notice of Concern

OIA Office of Internal Affairs

PCC Privatized Corrections Contracting

PDO Privatization Duty Officer

PEB Performance Evaluation Board

PFA Privatization Field Administrator

PIO Public Information Officer

PMB Privatization Management Branch

PMB-DC staff Privatization Management Branch staff (in Washington, DC)

PMB-Field staff Privatization Management Branch staff (at field sites across the country)

PRST Performance Requirement Summary Table

QAP Quality Assurance Plan

QCP Quality Control Plan

RDO Regional Duty Officer

RRMB Residential Reentry Management Branch

SME Subject Matter Expert

SOM Secure Oversight Monitor

SOW or PWS Statement of Work or Performance Work Statement

SSIM Senior Secure Institution Manager

103. ORGANIZATION. The Privatization Management Branch is a component of the

Correctional Programs Division, Bureau of Prisons, Department of Justice. PMB Administrators

provide program direction and support. PMB’s organizational structure includes both Central

Office and field staff.

The branch has an Administrator, located in Central Office, who reports to CPD’s Senior Deputy

Assistant Director, and provides guidance and policy direction to Bureau staff on all privatization

initiatives. Two Assistant Administrators are also located in Central Office. One is responsible

for support and development of privatization initiatives, and the other coordinates field operations

and manages field resources. In addition, Privatization Field Administrators (PFAs) supervise

and provide oversight of field offices assigned to them by the PMB Administrator. Each contract

facility has PMB staff on-site – typically a Senior Secure Institution Manager (SSIM), a Secure

Oversight Monitor (SOM), and an Inmate Systems Specialist (ISS).

104. PMB-FIELD STAFF POSITIONS

a. Privatization Field Administrator. The PFA provides general guidance for all oversight

activities under his/her respective sectors. The PFA is a COR.

P7740.02 11/21/2014 9

P7740.02 11/21/2014 10

b. Administrative Assistant. The AA organizes, maintains records, and provides

administrative support to the PFA and other staff by processing time and attendance, travel,

training, and other administrative functions.

c. Senior Secure Institution Manager. Under the direction of the PFA, the SSIM is

responsible for general oversight and liaison activities on a specific contract and is located on-site.

The SSIM is the lead staff member and serves as office manager for the field office. The SSIM is

a COR.

d. Secure Oversight Monitor. Under the direction of the SSIM, the SOM oversees contract

facility operations through general oversight and liaison functions. The SOM is a COR.

e. Inmate Systems Specialist. Under the direction of the SSIM, the ISS has oversight of

numerous inmate systems functions, including review of contractor-generated sentence

computations. The ISS is a COR.

105. PROFESSIONALISM. PMB staff must maintain the highest standards of conduct.

Contract facilities are often located in remote areas where PMB-Field staff and contract employees

may live in the same community, which could result in off-duty contact. A cooperative,

professional relationship between PMB staff and contractors is expected.

Staff must ensure those relationships do not cause a conflict of interest. PMB staff should seek

direction from their supervisor or the Ethics Office when questions arise in this area.

106. PMB-FIELD STAFF WORK SCHEDULES. Flexible work schedules must be

established to effectively oversee contract activities. The SSIMs develop work and annual leave

schedules for their staff. The SSIM/SOM work schedule s at each contract facility must include,

at a minimum, one early/one late shift per month for each staff member, and staff coverage for one

weekend per month.

P7740.02 11/21/2014 11

Chapter 2. CONTRACTOR RELATIONS AND LIAISON ACTIVITIES

201. INTRODUCTION. A cooperative, professional, and ethical partnership between PMB

staff and the contractor is expected at all times. A positive working relationship with the

contractor directly affects the ability of PMB-Field staff to carry out their oversight duties in an

effective and efficient manner. Yearly meetings are held between the contractor and PMB staff to

maintain this partnership.

202. RELEASE OF INFORMATION

a. Freedom of Information Act/Privacy Act (FOIA/PA). PMB-Field staff must be familiar

with FOIA/PA requirements. As the Bureau’s representatives, it is essential that all staff know

what information may be released to the public or other law enforcement agencies. The PFA

ensures staff under his/her supervision are familiar with these requirements.

b. Public Information. Questions about particular Bureau institutions or inmates confined in

them should be referred to the Public Information Officer (PIO) at that institution. The inquiry

should be referred to the PFA if uncertainties exist or for specific questions of an unusual or

sensitive nature. The PFA responds to or refers the inquiry to the appropriate party.

203. CORRESPONDENCE

a. Controlled Correspondence. The Bureau has a special interest in ensuring correspondence

submitted by the contractor to members of the Judicial and Legislative Branches and other parties

is accurate and provides the requested information. Correspondence from these parties is

controlled and is ordinarily received in the Director’s Executive Secretariat, then forwarded to

PMB. The PMB Administrator reviews the correspondence, assigns it to a Warden for response,

and provides copies to the SSIM and corporate representative. On receipt, the contractor

normally has 10 business days to finalize their response.

PMB-Field staff review all controlled correspondence before final distribution to ensure

substantive issues are accurately addressed. Following the review, the contractor distributes and

provides copies of the response to the PMB Administrator and the Director’s Executive Secretariat

according to established procedures in the SOW/PWS.

b. Informal Correspondence. It is the responsibility of the contractor to respond directly to

other (informal) correspondence forwarded by the Bureau. The contractor provides an

informational copy of the response to the SSIM and places a copy in the inmate’s central file.

PMB-Field staff do not need to review the contractor’s response before distribution unless special

circumstances warrant it.

204. CONTRACTOR CORRESPONDENCE. Official correspondence and reports

generated by PMB staff to the contractor, where a specific format has not been approved by PMB,

are prepared using the standard letter format. Correspondence and reports to the contractor

contain the official contract number; copies are forwarded to the PFA and CO.

205. PUBLIC AFFAIRS ISSUES. Press releases involving serious incidents (as defined by

the SOW/PWS) require clearance from the Bureau’s PIO before issuance by the contractor. The

SSIM reviews all press releases and forwards them through the PFA and PMB-DC staff to the

Bureau’s PIO to obtain final clearance.

In addition, the PIO must be notified regarding any issue that could negatively affect the Bureau.

Media interviews with high-profile inmates and national news networks or other major news

media (print, radio, wire) requesting access to private facilities are also reported.

206. PRIVATIZATION DUTY OFFICER (PDO). Proper reporting of significant incidents

at private facilities is critical. PMB-Field staff are assigned as PDOs on a rotating basis and must

be familiar with their reporting responsibilities, as well as the Bureau’s telemessage system.

Contractor personnel report incidents that occur after regular duty hours directly to the PDO

(ordinarily the SSIM or SOM for the facility). The PDO then reports to PMB Administrators or

other staff according to established internal procedures. If circumstances warrant, the PFA

notifies the Regional Duty Officer (RDO). Ordinarily, regional notification is for informational

purposes only.

207. CONTRACTOR TRAINING. The Government provides training as defined in the

SOW/PWS to help the contractor perform specialized requirements. If the contractor requests

Bureau-sponsored training in addition to courses specified in the contract, PMB-Field staff consult

with the PFA for guidance.

208. INSTITUTIONAL VISITORS

a. Official Visits. The SSIM forwards notification(s) of official visits by foreign diplomats,

members of the judiciary, members of Congress, or other elected officials to the PFA. PMB-Field

staff are available to answer questions regarding the contract if requested during the visit, but

ordinarily do not actively participate. Inquiries regarding Bureau operations, excluding the

contract, are referred to the Bureau’s PIO.

P7740.02 11/21/2014 12

b. Other Visitors. Upon notification from the Warden of a visitor (with the exception of law

enforcement employees on official duty), NCIC/NLETS checks must be performed if the visitor

will have other than incidental contact with inmates. The SSIM may conduct an NCIC/NLETS

check on other visitors as he/she deems appropriate. In accordance with the contract, the Warden

notifies the SSIM in advance of such visits.

209. COMMUNITY SERVICE PROJECTS. Some Federal inmates are permitted to

participate in approved community service projects as outlined in the Program Statement Public

Works and Community Service Projects. Contractors’ requests must be in writing and are sent

to the Office of General Counsel, the approving authority for such projects at contract facilities.

210. OFFICE OF INTERNAL AFFAIRS (OIA) PROCESSING. It is critical that

allegations of contractor misconduct are referred to OIA and timely follow-ups initiated to resolve

these cases. The contractor submits employee misconduct referrals to OIA, with copies to the

SSIM and the PFA. The SSIM tracks all OIA investigations from opening to closing.

PMB-Field staff must be familiar with the Program Statements Standards of Employee Conduct

and Office of Internal Affairs.

P7740.02 11/21/2014 13

P7740.02 11/21/2014 14

Chapter 3. PERSONNEL AND OFFICE MANAGEMENT

301. INTRODUCTION. Personnel and office management play vital roles in the operation of

PMB. Staff must continually seek professional development and maintain certifications specific

to their position(s).

302. STAFF TRAINING. Training comes in many forms, such as on-the-job training,

mentoring, classroom instruction, training modules, computer-based training, videos, etc.

Managers and supervisors must ensure staff receive adequate training, including all mandatory

training, to meet the challenges of their job and to prepare them for advancement.

Staff should also take advantage of training opportunities in the local community or at a Bureau

facility within close proximity to enhance their professional development in addition to the

mandatory courses in this chapter.

a. Mandatory Training and Certification. Staff must complete all mandatory training

activities and certifications outlined in the Program Statement Bureau Mandatory Training

Standards.

b. Annual Training. Each year, the Bureau’s Executive Staff determines core annual training

topics. These include regulatory requirements (ACA, Bureau, DOJ, Executive Orders), as well as

Bureau-specific issues.

1. PMB-Field Staff Training Requirements. Each fiscal year, every PMB-Field staff

member assigned to a secure contract facility must receive 40 hours of training, including firearms

and self-defense. PFAs, at a minimum, are required to complete 16 hours of training annually.

2. PMB-DC Training Requirements. PMB-DC staff and PMB-Field staff who are not

stationed at a correctional facility must complete 16 hours of training annually, including core

topics for the fiscal year, with the exception of firearms and self-defense.

3. Scheduling Annual Training/Firearms Certification. Staff requiring annual firearms

certification coordinate their training through the PFA.

303. EQUIPMENT/PROPERTY. Accountable Property Officers (APO) are appointed by the

Assistant Administrator, Support & Development, at facility activation, or the PFA if the APO is

reassigned. APOs keep a current inventory of equipment/property identified as controlled

property, per the Program Statement Property Management Manual.

P7740.02 11/21/2014 15

304. OFFICE FILES/RECORDS. SSIMs maintain files on all matters related to office

operations – property inventory, performance logs, correspondence, etc. – organized by subject

and kept in accordance with the Bureau of Prisons Records and Information Disposition Schedule

(BOP-RIDS). See the Program Statement Records and Information Management Programs.

In addition, electronic recordkeeping will be established in accordance with PMB internal

procedures.

Bureau policies and forms are available on Sallyport. SSIMs maintai n other directives, manuals

and reference materials, such as legal reference books, ACA Standards, and instructions from

other agencies necessary to perform their duties.

305. MEETINGS. Supervisors hold regularly scheduled meetings with subordinates at least

monthly, when the department consists of two or more subordinate staff. Additional

requirements can be found in the Program Statement Staff Meetings. Minutes are kept on-site

and copies forwarded electronically to the PFA.

306. TRAVEL. PMB staff travel as part of their duties or for training and professional

development. Official travel must be conducted within Federal guidelines and processed in

accordance with PMB’s internal procedures.

P7740.02 11/21/2014 16

Chapter 4. GENERAL CONTRACT ADMINISTRATION AND MONITORING

401. INTRODUCTION. Contract actions must be taken in accordance with the Program

Statement Bureau of Prisons Acquisition Policy. Upon award, the contract administration

phase begins. Contract administration refers to steps taken by Government representative(s)

responsible for ensuring Government and contractor compliance with the terms and conditions of

the contract.

402. TRANSMITTAL OF CONTRACT DOCUMENTS. PMB receives from the CO a

full-text copy of the contract, including modifications and all other contract-related

correspondence to PMB staff and others, as required by the FAR.

After contract award, the Council of Prison Locals President will be notified and will be provided

a copy of the full-text contract, upon request, in accordance with appropriate laws, rules, and

regulations.

403. CONTRACTING OFFICER ’S TECHNICAL REPRESENTATIVE. PMB staff who

are designated as CORs administer the contract. The duties of the COR are outlined in the letter

of designation.

404. CONTEN T OF COR FILES. A working file of the contract is kept on-site. An

electronic file is maintained in a shared drive. Other forms of filing (six-part folders or binders)

are acceptable as a working copy. T he information must be readily accessible and easily

transmitted to requesting parties. Files must be clearly marked and indexed.

405. CONTRACTOR INVOICE AND PAYMENT PROCESSING. PMB, with the Finance

and Budget Execution Branches, is responsible for budget and payment matters for privately

operated secure adult correctional facility contracts. Each month, the contractor forwards an

original invoice to PMB-DC staff and copies of the invoice, clearly marked COPY, to the SSIM

and CO. The SSIM and CO both verify the accuracy of the invoices and submit a certification

memo to PMB-DC staff for processing.

406. CONTRACT CLARIFICATION PROCEDURES. The contractor submits requests for

technical clarification in writing to the SSIM. The SSIM consults with the PFA and CO as

necessary on non-routine issues before taking further action.

P7740.02 11/21/2014 17

In some instances, the contractor’s request is beyond the expertise of oversight staff and

interpretation is necessary from a SME. In such cases, the SSIM submits the contractor’s request

through the PFA to PMB-DC staff for further review and response, in accordance with PMB

internal procedures.

407. CONTRACT MONITORING

a. Introduction. PMB-Field staff monitor contractor compliance with contract requirements,

and provide their supervisors and PMB-DC staff with comprehensive and accurate information on

contractor performance.

b. Monitoring Instruments. The Bureau uses a multifaceted approach to monitoring

contractor performance. PMB staff play a critical role and must have an in-depth understanding

of contract requirements and facility operations. Integral parts of the strategy are:

1. Quality Control Program (QCP). The contract is based on the premise that the contractor,

not the Government, is responsible for managing quality control to meet the terms of the contract.

Effective institution management and an effective QCP allow the contractor to demonstrate

positive performance. The contractor is required to maintain a complete QCP to ensure contract

requirements are met.

2. Quality Assurance Plan (QAP). The QAP is a mechanism by which the Government

ensures vital contract requirements are met as described in each contract’s PRST. CFM review

guidelines, oversight monitoring checklists, random samplings of the contractor’s performance,

and the contractor’s QCP are examples of the Bureau’s QAP efforts. Th ese reviews assist PMB

staff in evaluating contractor performance.

3. Contract Facility Monitoring (CFM) Review. CFM and PMB staff work together in

carrying out contract oversight. CFM teams routinely review each facility to monitor contract

compliance and may conduct reviews at other times based on contract performance.

c. PMB-Field Monitoring Activities. PMB-Field staff conduct periodic reviews of the

contractor’s performance through various methods – monitoring checklists, logs, performance/

operational meetings, and staff observation. Specific monitoring activities include:

■ Complete monthly monitoring checklists.

■ Monitor contract population and staffing levels.

■ Process contract staff employment approvals.

■ Review contractor policies before implementation.

■ Review all Report of Incident forms (BP-A0583), After-Action Review Reports (BP-A0586),

and use of force videos.

■ Approve sentence computations before an inmate’s release at facilities where the contractor is

responsible for sentence computations.

■ Address contractor performance problems via NOCs or deductions.

1. Population Levels. PMB-Field staff monitor inmate population levels to ensure contract

compliance is maintained, via SENTRY and a JPATS manifest. The SSIM consults with the PFA

when non-routine issues arise.

2. Staffing Levels. PMB-Field staff monitor staffing levels to ensure contract compliance.

The contractor provides a report with the monthly invoice that includes the average monthly

vacancy rate, as well as positions vacant for more than 120 days.

3. Sentence Computations. In some contracts, the contractor is responsible for sentence

computations. The ISS reviews and approves sentence computations before an inmate’s release.

The ISS approves permanent inmate releases by conducting and certifying release audits 12

months before the month of release, or upon computation if the inmate is within 12 months of

release at commitment. The contractor must not release an inmate from his/her Federal sentence

without prior Bureau approval. Local procedures must be established to ensure that any changes

(Good Conduct Time, amended Judgment and Commitment, etc.) resulting in a different release

date are resubmitted to the Bureau for certification. If an inmate’s sentence computation requires

an immediate release, the contractor contacts the ISS, or, in the absence of an ISS, the SSIM and

the DSCC.

4. Written Evaluations. PMB-Field staff provide written evaluations of contract performance

at specific intervals as required by the FAR, the CO, or by PMB’s internal procedures. One form

of written evaluation is the computer web-based program, Contractor Performance Assessment

Reporting System (CPARS). The evaluation frequency may be increased or decreased as

determined by the CO. Evaluations are completed by the SSIM and forwarded through the PFA

to the CO. PMB-Field staff also prepare written reports of contractor performance, which are a

vital part of the award fee process. The award fee process is designed to provide the contractor

with an opportunity to earn additional monies for performance above the acceptable level.

PMB-Field staff play a critical role in this process. The performance reports they prepare must be

detailed enough to provide a thorough assessment of the reporting period, usually one year. For

contracts with an award fee provision, the language is included in the contract as an attachment in

Section J.

P7740.02 11/21/2014 18

Contractor performance problems are addressed with NOCs and deductions. NOCs are used

when the contractor performs below an acceptable level and the issue(s) is more than a minor or

repetitive deviation. The deduction process allows the Bureau to reduce a contractor’s invoice by

the value of any service not performed as required by the contract. The process by which

deductions are proposed, reviewed, and decided is designed to ensure a consistent approach. A

deduction may be proposed when a program failure occurs within a vital function identified in the

PRST (located in Section J of all contracts). The SSIM recommends a deduction proposal

supported by CFM reports, NOCs, significant incidents reported to the PFA by on-site monitors or

other Bureau staff, ad hoc reviews, and other relevant information.

P7740.02 11/21/2014 19