Section5.pdf

Part III - List of Documents, Exhibits and Other Attachments Section J - List of Attachments

Attachment No. Title Page #

J-1 Wage Determinations 74

J-2 Evaluation Techniques for Quality Assurance of Contractor Performance

75-76

J-3 Performance Requirements Summary Table 77-80

J-4 Contractor Quality Control 81-84

J-5 Award Fee Determination Plan 85-87

J-6 Standards of Conduct 88-91

J-7 Scope and Coverage of a Limited Background Investigation

92-93

J-8 Scope and Coverage of a Periodic Reinvestigation- Residence (PRIR)

J-9 Adjudication Standards for Resolving LBI and Periodic Re-investigations

95-101

J-10 Business Management Questionnaire 102-107

J-11 Small Business Subcontracting Plan 108-119

J-12 Question Submittal Form 120

J-13 Offeror’s Intent to Propose 121

J-14 Required Government (BOP) Space 122

J-15 Procedural Guidance Complying with National Environmental Policy Act Requirements

123-134

J-16 SENTRY Rules of Behavior 135

J-17 Federal Bureau of Investigation Criminal Justice Information Services Security Addendum

136-151

J-18 Qualifying Federal Offenses For Purposes of DNA Sample Collection

152-159

J-19 Information Systems Equipment 160-164

Attachment J-1 Wage Determinations Shall be incorporated via amendment.

Attachment J-2

EVALUATION TECHNIQUES FOR QUALITY ASSURANCE

OF CONTRACTOR PERFORMANCE

General: In accordance with the “Consequences of Contractors Failure to Perform Required Services” clause, the Federal Bureau of Prisons (BOP) may choose to apply a program review inspection process to either assess the contractor’s performance or determine the amount of payment, or both. The following is a description of the program review process.

Program Review is a system for inspecting performance, testing the adequacy of the internal quality controls and assessing risks for all program and administrative areas of contract performance.

The review guidelines will be based on the Contractor’s Quality Control Program (QCP), the Statement of Work (SOW), professional guidelines referenced by the SOW, applicable BOP policy and any other appropriate measure within the contract’s scope of work.

Contract requirements will be divided into various disciplines, each of which has a number of vital functions. Successful performance in a vital function is essential to successful performance of the related discipline. Each discipline comprises a specific percentage of the overall contract requirement. Deductions will be based on these percentages applied to the overall monthly invoice.

The BOP may, consistent with the scope of contract performance requirement, unilaterally change the vital functions identified with the performance requirements summary. A minimum of 30 calendar days before the beginning of each evaluation period, the Contracting Officer will notify the contractor of any exchanges. If the contractor is not provided with the notification, the existing vital functions will continue in effect for the next evaluation period, unless the contractor agrees to accept the proposed changes.

The BOP reserves the right to develop and implement new inspection techniques and instructions at any time during contract performance without notice to the contractor.

Management Assessment: Subsequent to award, the Contracting Officer (CO) will convene a meeting in which the BOP and the Contractor will cooperatively assess the contractor’s QCP and the BOP’s Quality Assurance Program (QAP). The assessment process is intended to facilitate the identification of strategic issues important to the quality assurance and quality control programs and a mutual understanding of these programs by BOP and contractor staff.

Program Review Steps: Review steps will utilize the findings of the contractor’s QCP reports submitted by the contractor to the BOP, and direct observations, interviews, and analytical determinations.

Generally, program reviews will be of two types:

A) Systematic: These reviews will be scheduled inspections focusing on a specific discipline. Inspections may be performed by on-site BOP monitors or by other parties designated by the CO as representatives of the BOP.

B) Ad-Hoc: These reviews will be conducted as a result of special interests arising from routine monitoring of the contractor’s QCP, an unusual occurrence pertaining to the contract or other BOP concerns. These reviews could utilize established program review steps or an entire different inspection approach.

Program Review Findings: At the conclusion of each review, a report, (Contract Facility Monitoring Report), will be written and an adjectival rating of contractor performance within each discipline will be assigned. The following grades will be used:

Superior The program is performing all of its functions in an exceptional manner and has excellent internal quality controls. Deficiencies are limited in number and not serious in nature. Program performance exceeds expectations and demonstrates initiative and exceptional effort.

Good The program is performing all of its vital functions and there are few deficient procedures within any function. Internal quality controls are such that there are limited procedural deficiencies. Overall performance is above an acceptable level.

Acceptab le This is the “baseline” for the rating system. The vital functions of the discipline are being adequately performed. Although numerous deficiencies may exist, they do not detract from the acceptab le accomplishment of the vital functions. Internal quality controls are such that there are no performance breakdowns that would keep the program from continuing to accomplish its mission.

Deficient One or more vital functions of the program is not being performed at an acceptable level. Internal quality controls are weak, thus allowing for serious deficiencies in one or more program areas.

At Risk The program is impaired to the point that it is not presently accomplishing its overall mission. Internal quality controls are not sufficient to reasonably assure that acceptable performance can be expected in the future.

Grades below Acceptable may subject the contractor to deductions from the monthly invoice and appropriate administrative action as defined within the contract. The amount of any deduction taken, up to the maximum weight assigned within the Performance Requirements Summary, will be at the discretion of the CO.

Attachment J-3

PERFORMANCE REQUIREMENTS SUMMARY TABLE

The purpose of this attachment is to:

A. List each contract requirement and the vital functions essential to successful performance of each contract requirement.

B. Summarize the vital functions.

C. Specify the percentage of total contract value attributable to each contract requirement.

PERFORMANCE REQUIREMENTS SUMMARY TABLE

CONTRACT REQUIREMENT: ADMINISTRATION (QUALITY CONTROL) 10%

Vital Function #1 The contractor's Quality Control Program serves to identify deficiencies in the quality of services throughout the entire scope of the contract and implements corrective action before the level of performance becomes deficient.

CONTRACT REQUIREMENT: CORRECTIONAL PROGRAMS 10%

(Unit/Case Management, Grievance Procedures)

Vital Function #2 Inmates are appropriately classified and managed commensurate with security and custody requirements to promote institution and public safety.

Vital Function #3 Staff evaluate the needs of inmates and manage their program participation.

Vital Function #4 Staff are accessible and communicate effectively with inmates to promote positive institutional adjustment.

Vital Function #5 A program for inmate grievances exists which provides for the expression and resolution of inmate problems.

CONTRACT REQUIREMENT: CORRECTIONAL SERVICES 20%

(Security/Control/ Inmate Accountability/ Computer Security and Information Systems)

Vital Function #6 A safe and secure environment is provided for staff and inmates through effective communication of operational concerns. This includes verbal and written instructions, post orders, institution supplements, information dissemination, training and crisis prevention.

Vital Function #7 Intelligence information related to security concerns is gathered for dissemination to appropriate Contract and Federal Bureau of Prisons (BOP) staff.

Vital Function #8 An adequate security inspection system is provided to meet the needs of the institution.

Vital Function #9 An adequate level of emergency readiness is maintained to respond to institution emergencies.

Vital Function #10 Appropriate operational and security requirements applicable to all computer and information systems are maintained.

CONTRACT REQUIREMENT: FOOD SERVICE 15%

Vital Function #11 Policy, procedures, and practices are in place for a safe, secure, and sanitary environment.

Vital Function #12 Meals are nutritionally adequate, properly prepared and attractively served.

Vital Function #13 Policy, procedures, and essential resources are identified, developed, and managed to meet the operational needs of the Food Service Program.

CONTRACT REQUIREMENT: HEALTH SERVICES 15%

Vital Function #14 Open access to health care is provided for all inmates in an environment that is safe and secure.

Vital Function #15 Quality health care is provided utilizing qualified personnel and resources in accordance with applicable standards.

Vital Function #16 Health information data is recorded accurately, legibly, timely, and maintained in accordance with applicable BOP policy.

Vital Function #17 All inmates are screened for mental health, substance abuse, and other behavioral problems and receive appropriate intervention, treatment and programs to promote a healthy, safe, and secure environment.

CONTRACT REQUIREMENT: HUMAN RESOURCES 10%

Vital Function #18 Adequate staffing levels are maintained.

Vital Function #19 Staff resources are properly administered and managed.

Vital Function #20 All resources are managed to ensure training requirements and needs are provided.

CONTRACT REQUIREMENT: INMATE SERVICES 15%

(Commissary/Laundry/Telephone/Trust Fund)

Vital Function #21 Inmates are provided the privilege of an inmate telephone system and obtaining merchandise through the operation of a commissary.

Effective security measures are in place to prevent misuse of the telephone system.

Vital Function #22 Inmate funds and property are properly maintained and accounted for during incarceration.

Vital Function #23 Clothing, linens, toiletries and laundry services are provided to inmates.

(Education and Recreation Programs)

Vital Function #24 The needs of the inmate population are evaluated and a wide range of programs provided that encourage purposeful participation and promote opportunities for self-improvement. Programs are accessible for the inmate population, program availability is communicated, and perpetual evaluation of program formulation, attendance, and productivity occur.

(Mail/Receiving and Discharge/Records)

Vital Function #25 The institution provides inmate mail services, which include timely processing and accountability of funds, special mail, and general correspondence. Special care is given to the detection of contraband and prohibited acts.

Vital Function #26 Inmates are lawfully committed, processed, and discharged, in a safe and secure environment, with emphasis on the detection and elimination of contraband from their persons and property.

Vital Function #27 The appropriate execution, processing and verification of documents are performed to ensure the accurate and timely release of inmates.

(Religious Services)

Vital Function #28 Impartial religious leadership is provided through resources and programs to accommodate the free exercise of religion and diverse needs of inmates.

CONTRACT REQUIREMENT: SAFETY AND ENVIRONMENTAL 5%

HEALTH/ FACILITIES

Vital Function #29 All facilities are safely operated and maintained in accordance with applicable laws, codes, and regulations.

Attachment J-4

CONTRACTOR QUALITY CONTROL

A. Quality performance and quality control are contractor responsibilities. In accordance with Federal Acquisition Regulation Clause 52.246-4, "INSPECTION OF SERVICES--FIXED PRICE", the contractor shall establish and maintain a complete Quality Control Program (QCP) acceptable to the Contracting Officer (CO) to ensure the requirements of this contract are provided as specified. This system shall:

(1) Be implemented upon receipt of the Notice to Proceed.

(2) Identify deficiencies in the quality of services throughout the entire scope of the contract and implement corrective action before the level of performance becomes unsatisfactory.

B. A complete QCP addressing all areas of contract performance shall be submitted to the CO a minimum of 30 days prior to the anticipated NTP date and no later than 30 days prior to the start of each option period. All proposed changes to the QCP must be approved by the CO.

The QCP shall include, at a minimum:

(1) Specific areas to be inspected on either a scheduled or unscheduled basis and the method of inspection.

(2) The name(s) and position(s) of the individual(s) responsible for the inspections, their qualifications, and the extent of their authority.

(3) Procedures for written and verbal communication with the Government regarding the performance of the contract.

(4) Specific surveillance techniques for each contract service identified in the statement of work and each vital function identified in the Performance Requirements Summary Table(PRST).

(5) The system shall comply with the requirements of the Government's quality assurance program, contain procedures for investigation of complaints by contractor and Government staff and feedback to the

Government on the actions taken to resolve such complaints.

C. A file of all inspections, inspection results, and any corrective action required, shall be maintained by the contractor through the term of this contract. This file shall be the property of the Government and be made available to the CO upon request. The file shall be turned over to the CO within ten (10) calendar days after completion or termination of the contract.

D. The parties to this contract agree the contractor shall be conclusively presumed to have actual knowledge of work not performed and, therefore, written notice by the Government shall not be a prerequisite for reducing payment or assessing liquidated damages for service(s)not performed.

E. Failure by the contractor to maintain adequate quality control can result in termination for default.

Government Quality Assurance (QA)

A. The Government's QA program is based on the premise the contractor, and not the Government, is responsible for management and quality control actions to meet the terms of the contract. The QA procedures recognize the contractor is not a perfect manager and unforeseen and uncontrollable problems do occur. Good management and use of an adequate QCP will allow the contractor to operate within acceptable quality levels.

In accordance with the FAR Clause 52.246-4, "INSPECTION OF SERVICES--FIXED-PRICE", each phase of the services rendered under this contract is subject to Government inspection both during the contractor's operations and after completion of the tasks. When the contractor is advised of any unsatisfactory condition(s), the contractor shall submit a written report to the CO addressing corrective/preventive actions taken. The Government's QA Program is not a substitute for quality control by the contractor.

a. The Contracting Officer's Technical Representative(COTR) may check the contractor's performance and document any noncompliance, but only the CO may take formal action against the contractor for unsatisfactory performance.

There may be several COTRs designated for this contract.

The COTR(S) will be designated subsequent to contract award and a delegation of COTR duties and authority will be furnished to the contractor.

C. The Government may reduce the contractor's invoice or otherwise withhold payment for any individual item of nonconforming service observed as specified in CONTRACTOR'S FAILURE TO PERFORM REQUIRED SERVICES Clause. The Government may apply various inspection and extrapolation techniques (i.e., 100% surveillance, random sampling, planned sampling, unscheduled inspections, etc.) to determine the quality of service and the total payment due.

Contractor's Failure To Perform Required Services

The rights of the Government and remedies described in this section are in addition to all other rights and remedies set forth in this solicitation. Specifically, the Government reserves its rights under the Inspection of Services and Termination clauses. Any reductions in the contractor's invoice shall reflect the contract's reduced value resulting from the contractor's failure to perform required services.

The contractor shall not be relieved of full performance of the services hereunder and may be terminated for default based upon inadequate performance of services, even if a reduction was previously taken for any inadequate performance.

Inspection By Regulatory Agencies

Work described in the contract, is subject to inspection by other Government agencies. The contractor shall participate in responding to all requests for information and inspection or review findings by regulatory agencies.

Performance Evaluation Meetings

The contractor's representatives shall meet with the COR, COTR(S) and the CO on a regular basis as determined necessary by the CO. These meetings will provide a management level review and assessment of contractor performance, a discussion and resolution of problems, and, if applicable, a draft of the contractor's proposed invoice.

A mutual effort will be made to resolve all problems identified. Written minutes of these meetings shall be signed by the contractor's representative and the Government's representative. Within five (5) calendar days of receipt of the signed minutes, the contractor shall respond, in writing, to the CO, concerning any areas of disagreement.

Attachment J-5

AWARD FEE DETERMINATION PLAN

A. INTRODUCTION

Award fee evaluation periods will begin annually on April 1 and October 1.

The objective of this plan is to provide the guidelines for the award fee process. The contractor has an opportunity to earn an award fee commensurate with the achievement of performance above the acceptable level.

B. RESPONSIBILITIES

The Fee Determination Official (FDO) determines the award fee earned and payable for each evaluation period. The contractor will receive written notification of the FDO’s decision, ordinarily 60 days after the end of the evaluation period.

The Performance Evaluation Board (PEB) assesses performance information and makes recommendations to the FDO.

For payment of the award fee, the contractor shall submit a separate invoice with a copy of the FDO’s determination.

C. EVALUATION

The PEB and the FDO may consider performance information, including that which is measured against the Performance Requirements Summary Table; Contract Facility Monitoring reports;

the contractor self-assessment and any other relevant information.

Listed below are the factors essential for consideration of an award fee:

• Quality of Work - Results of Quality Assurance inspections and observations by Federal Bureau of Prisons (BOP) personnel.

• Contractor Responsiveness - Timeliness, cooperation, effectiveness and appropriateness of response to both routine and unusual institution events; timely response to BOP concerns; reaction to changing service requirements.

• Management of Quality Control Program - Effectiveness of Quality Control Program; self-initiated service improvements.

The following Performance Rating Table does not convey the use of a mathematical formula to determine the amount of an award fee.

Rating Performance Description Award Fee Range

Superior The program is performing all of its functions in an exceptional manner and has excellent internal quality controls. Deficiencies are infrequent in number and not serious in nature. Program performance exceeds expectations and demonstrates initiative and exceptional effort.

50% - 100%

Good The program is performing all of its vital functions and there are few deficient procedures within any function. Internal quality controls are such that there are limited procedural deficiencies.

Overall performance is above an acceptable level.

1% - 49%

Acceptable This is the “baseline” for the rating system. The vital functions of the discipline are being adequately performed. Although numerous deficiencies may exist, they do not detract from the acceptable accomplishment of the vital functions. Internal quality controls are such that there are no performance breakdowns that would keep the program from continuing to accomplish its mission.

0%

Deficient One or more vital functions of the program is not being performed at an acceptable level. Internal quality controls are weak, thus allowing for serious deficiencies in one or more program areas.

0%

Rating Performance Description Award Fee Range

At Risk The program is impaired to the point that it is not presently accomplishing its overall mission.

Internal quality controls are not sufficient to reasonably assure that acceptable performance can be expected in the future.

0%

D. CONTRACTOR SELF-ASSESSMENT

Within five working days after the end of each evaluation period, the contractor shall provide a written self-assessment of performance, not to exceed 10 pages. The contractor may include any pertinent information they wish to have considered during the evaluation period. The contractor is encouraged to discuss the implementation of any innovative approach or performance above-and-beyond contract requirements. The self-assessment shall be provided to the BOP electronically in WordPerfect format. In addition, one hard copy, signed and dated by the contractor, shall be forwarded to the Contracting Officer.

The self-assessment shall provide both program strengths and weaknesses of the contractor's performance during the evaluation period. The contractor shall identify areas of weakness which need to be addressed. Where weaknesses in performance are noted, the contractor shall describe the corrective actions taken or planned, and any plan of action to avoid their recurrence. The PEB will consider the thoroughness and candor of the self-assessment as an indicator of: (1) the degree to which the contractor seeks out problems and solutions; and (2) the contractor's understanding of issues and concerns identified by the BOP.

A PEB representative may contact the contractor for discussion or clarification.

E. REVISIONS

The BOP may unilaterally modify the contract to revise the Award Fee Determination Plan (AFDP). The BOP will provide written notice of the revision to the contractor 30 calendar days prior to the beginning of the next evaluation period. The revised AFDP will take effect at the beginning of the next evaluation period.

Attachment J-6

STANDARDS OF CONDUCT

The contractor’s written policy, procedures and practice, subsequently referred to as the Standards of Conduct, on employee conduct, ethics and responsibility shall include those standards outlined below.

At a minimum, the contractor shall include in the "Standards of Conduct" the following:

A. Employee Actions

C The contractor shall notify employees of the Standards of Conduct and document this notification in their personnel files.

C Employees shall be required to sign an acknowledgment that they have received and understand the Standards of Conduct and shall cooperate fully by providing all pertinent information which they may have with any investigative authority. Full cooperation means and requires truthfully responding to all questions and providing a signed, sworn affidavit, if requested.

C Any employee who fails to cooperate fully or who hinders an investigation is subject to prohibition from working with federal offenders. The contractor shall also document this acknowledgment of the duty to cooperate in each employee’s personnel file.

C Employees shall conduct themselves professionally and in a manner that creates and maintains respect for the contract facility, BOP, the Department of Justice, and the U. S.

Government.

C Employees shall avoid any action that might result in, or create the appearance of, adversely affecting the confidence of the public in the integrity of the U. S. Government.

C Employees shall uphold the ethical rules governing their professions, including complying with applicable licensing authority rules, unless they conflict with federal law.

C Employees shall not access official information unless there is both a clearly defined need to know and a right to know such information in the performance of a legitimate correctional activity.

C Employees shall not use or possess illegal drugs or narcotics and shall not abuse any drug or narcotics. Use of alcoholic beverages or being under the influence of alcohol while on duty, present in the facility, or immediately before reporting for duty is prohibited. An employee while on duty or in the facility is considered to be under the influence of alcohol if their blood alcohol content is 0.02 percent or greater.

B. Contacts

C Employees shall not engage in or allow another person to engage in sexual behavior with an offender. Regardless of whether force is used or threatened, there can be no consensual sex between employees and offenders.

C Employees shall not use profane, obscene, or otherwise abusive language when communicating with offenders.

C Employees shall not show favoritism or give preferential treatment to one offender, or a group of offenders, over another.

C Employees shall not have any outside contact with an offender, ex-offender, offender’s family or close associates, for a period of one year from the last day of the offender’s sentence or supervision, whichever is later, except those activities that are an approved integral part of a facility program and a part of the employee’s job description. Employees will report any such contact, in writing, to the Warden immediately.

C Employees shall not offer or give to an offender or a former offender or any member of his or her family, or to any person known to be associated with an offender or former offender, any article, favor, or service, which is not authorized in the performance of the employee’s duties.

Employees shall not accept any gift, personal service, or favor from an offender or former offender or from anyone known to be associated with or related to an offender or former offender. This prohibition includes becoming involved with families or associates of any offender.

The following provisions are recommended for inclusion Standards of Conduct:

C Employees shall not engage in any conduct that is criminal in nature or which would bring discredit upon the facility, BOP, DOJ, or U. S. Government. Employees’ conduct must be above reproach. It is expected that employees shall obey not only the letter of the law, but also the spirit of the law while engaged in personal or official activities.

C Employees shall not use physical violence, threats, or intimidation toward fellow employees, family members of employees, or visitors to the facility.

C To prevent conflicts of interest, the contractor shall have a written policy that specifically states that no employee may use his or her official position working with federal offenders to secure privileges or advantages in the facility or community.

C Employees shall immediately report to the Warden, or other appropriate authorities, any violation or apparent violation of these standards. Violations may also be reported to the Office of Inspector General via a toll-free hotline (1-800- 869-4499). This hotline is available to anyone wishing to report a DOJ employee’s misconduct, as well as fraud, waste, or abuse in government operations and programs.

C Employees shall immediately report any violation or attempted violation of any law or regulation and any act or omission by any person which could result in a breach of institution security. Violations may also be reported to the Office of Inspector General via a toll-free hotline (1- 800-869-4499). This hotline is available to anyone wishing to report a DOJ employee’s misconduct, as well as fraud, waste, or abuse in government operations and programs.

C Employees shall be informed that the introduction of contraband into or upon the grounds of the facility, or taking or attempting to take therefrom, anything whatsoever without the Warden’s knowledge and consent, is prohibited.

C Employees shall not use their prison credentials, identification cards, or badges to coerce, intimidate, or deceive others to obtain any privilege not otherwise authorized in the performance of their duties.

C Supervisors are expected to provide fair and equitable oversight for subordinate staff. Relationships that may give the appearance of being partial are inappropriate.

Examples of inappropriate supervisor/subordinate relationships include but are not limited to:

< financial transactions < romantic/intimate relationships or contacts < requesting or providing personal favors

(running errands, etc.)

Attachment J-7

SCOPE AND COVERAGE OF A LIMITED BACKGROUND

INVESTIGATION (LBI)

The limited background investigation is the required background investigation for moderate risk positions at the noncritical sensitive level. It includes the National Agency Check, credit check, personal subject interview, and coverage of at least the most recent 3 years of activity including employment, self employment, unemployment, references, education, residence, and law enforcement agencies. Military service is covered up to the last 15 years through the NAC and the highest education degree claimed is confirmed by inquiry regardless of time frame.

- Investigations do not extend back before a subject’s 18th birthday except to ensure a minimum of 2 years coverage.

- Sources are developed through information provided by the subject and other sources.

- The background investigation report is not a verbatim transcript of interviews with the subject, sources, or employers. It is a factual report of information compiled by the investigator with discrepancies from information provided by the subject duly noted.

Issues and derogatory information are also noted, Items are scheduled for coverage by various methods which may be shown as follows:

P - Personal Coverage (includes record searches) (an investigator actually interviews subject or reviews documents) R - Record search only I - Inquiry (mail or electronic) T - Telephone L - Linkage (electronic-terminal or tape)

Basic coverage period for this type of case is 3 years, and it includes the following:

The National Agency Check consists of a check of OPM’s Security Investigation Index SII which is an index of investigations conducted by OPM and other Federal Investigative agencies, a check of FBI fingerprint files, a check of FBI investigative files, and a check of the Department of Defense Investigative Index of civilian and military personnel. It is checked by Inquiry, Linkage, and Record. If the LBI is not initiated though USIS, (under contract with OPM) the NAC will be procured by the BOP.

Credit Check is covered by Linkage, and the period covered is 3 years. All credit checks will be used for employment purposes only, in accordance with 15 U.S.C..

Personal Subject Interview is scheduled at current job location, and is a one-on-one interview.

Education is covered by Personal coverage and Record for the most recent year of basic coverage period and is covered by Inquiry for years 2 to 3 (and highest degree).

Residence is covered by Personal coverage and Record search only, for the most recent year as of the scheduling date of the basic coverage period.

Employment, including self-employment and unemployment, is covered by Personal coverage and Record search only for the 3 year basic coverage period as of the scheduling date.

Law Enforcement is covered by Record search only for locations within the basic coverage period, and is scheduled Inquiry or Record search for related issue information shown on the case papers.

Stateside Military Service (over 6 months) is covered by Personal coverage and Record search for the most recent year of the basic coverage period (15 years of coverage are provided in the

NAC).

Court Records are obtained for bankruptcies and financial delinquencies over $1,000 or if dollar amount unknown, within the basic coverage period.

Extra Coverage is required when additional information is needed to help the agency determine a person’s qualifications, suitability, and security for a particular position.

Extra coverage is requested for law enforcement positions, which allows the investigator to ask the following questions:

- How does the person react/would react in an emergency situation?

- Does the person have the ability to operate under stress?

- How is the person’s stability, judgement, discretion, and physical health?

- How is this person’s financial responsibility/ability to live within their means?

Expanded law enforcement searches (included County and State criminal records where available).

Attachment J- 8

SCOPE AND COVERAGE OF A PERIODIC

REINVESTIGATION-

RESIDENCE (PRIR)

The Periodic Reinvestigation is a reinvestigation that is conducted every five years. It includes the National Agency Check, personal subject interview, residence, and selected records searches.

Scheduled items are scheduled for coverage by various methods as follows:

P - Personal Coverage (includes record searches) R - Record search only I - Inquiry (mail or electronic) T - Telephone L - Linkage (electronic-terminal or tape)

Basic coverage period for this type of case is 5 years, and it includes the following:

The National Agency Check consists of a check of OPM’s Security Investigation Index SI]) which is an index of investigations conducted by OPM and other Federal Investigative agencies, a check of FBI fingerprint files, a check of FBI investigative files, and a check of the Department of Defense Investigative Index of civilian and military personnel. It is checked by Inquiry, Linkage, and Record, If the PRIR is not initiated through USIS, (under contract with OPM) the NAC will be procured by the BOP.

Credit Check is covered by Linkage, and the period covered is 7 years. All credit checks will be used for employment purposes only, in accordance with the Fair Credit Reporting Act.

Personal Subject Interview is scheduled at current job location.

Education is not scheduled.

Residence is covered by Personal coverage and Record search only, for the most recent 3 years of the basic coverage period.

Employment is not scheduled.

Law Enforcement is covered by Record search only for locations within the basic coverage period, and is scheduled Inquiry or Record search for related issue information shown on the case papers.

Stateside Military Service is not scheduled.

Attachment J-9 Adjudication Standards for Resolving LBI and

Periodic Re-investigation

A. INTRODUCTION: The review of background investigations and the resolution of derogatory information is an essential part of the process for determining whether an individual is eligible for government employment or access to National Security Information. These functions should be conducted, whenever possible, by designated security personnel outside of the employee's supervisory chain. The supervisor's knowledge of derogatory information may affect the supervisor's objectivity regarding performance appraisal, promotions, etc., of the employee. Any reference to “government employee” within this document includes persons working under contract.

B. PURPOSE: The purpose of this document is to assist those individuals in the Bureau who initially review background investigations for employment and for those individuals who conduct Subject Interviews for the purpose of resolving and documenting derogatory information. Derogatory information appears in a background investigation in a number of ways.

Some information is derogatory information on its face and is both easily recognized and identified. There is other information that, standing alone is somewhat innocuous.

When this information is reviewed in the context of other information, it may also require resolution.

C. PRINCIPALS: All derogatory information be favorably resolved by the contractor before the BOP will consider granting final approval for employees to work with Federal offenders under this contract. The resolution will require the adjudicator to identify the information, explain why it is considered insignificant, or provide documented resolution. It is not sufficient to resolve derogatory information by merely indicating that the subject exhibits acceptable job performance.

Adjudication of background investigations or reinvestigations that reveal activity or conduct that may render a person susceptible to coercion will be subject to the following guidelines:

1. If the background investigation or reinvestigation demonstrates that the applicant/employee is open regarding his or her conduct, no personal interview or other action is warranted.

2. If the background investigation or reinvestigation indicates, or raises an unresolved question as to whether the person is concealing any conduct that reasonably would subject the person to coercion, the contractor will arrange for an interview with the employee to discuss:

a. The issue of concealed conduct that was raised during the background investigation or reinvestigation, and whether or not the person is in fact concealing any conduct that reasonably would subject the person to coercion. If the discussion demonstrates that the person is not concealing any such conduct, no further action is warranted.

b. If the person may be concealing conduct that reasonably would subject the person to coercion, the interviewer will continue to discuss:

1.The contractor's concern regarding the potential for coercion, pressure, manipulation, or blackmail;

2.The contractor’s Employee Standards of Conduct requirement that the employee immediately submit a written report of any attempt at coercion or blackmail to the CEO.

The interviewer should prepare a memorandum documenting the discussion and the employee's acknowledgment of the reporting requirements and submit it with the employee's personnel file. The employee is not required to sign any documentation.

Resolution of derogatory information should afford the subject an opportunity to comment on the derogatory information or a chance to offer his/her "side of the story." Resolution of derogatory information is a critical part of the adjudication process for several reasons.

Information which appears derogatory can be refuted or mitigated in some instances by the subject of the background investigation. Similarly, the subject may be able to present circumstances which clarify the derogatory information.

Executive Order (E.O.) 10450, entitled "Security Requirements For Government Employment," establishes as the criteria for government employment that individuals must be "reliable, trustworthy, of good conduct and character and of complete and unswerving loyalty to the United States."

Derogatory information is any information that, in the opinion of a reasonably objective person, tends to indicate that an individual may not be possessed of one or more of these qualities.

D. DEROGATORY INFORMATION: Listed below are general areas of concern for adjudicators:

1. Loyalty. Any information which indicates that the subject is not loyal should be identified as derogatory. Any background investigation which presents information which questions an employee's loyalty to the United States must be brought to the attention of the BOP. If an applicant is found to be unsuitable for employment, the BOP does not need to be advised.

If, however, it is decided that the applicant is otherwise suitable for employment, the loyalty issue must be brought to the attention of the BOP prior to hiring that individual.

Several examples which should bring into question an individual’s loyalty are:

a. Advocating force or violence to overthrow the government of the United States;

b. Establishing contact with a seditionist, anarchist or with any representative of a foreign government whose interests may be contrary to the interests of the United States; or

c. Membership in organizations which systematically commit criminal acts against the United States Government.

2.Close Relatives and Associates. In reviewing a background investigation, attention should be given to evidence that the subject of the investigation has close relatives or associates residing outside of the United States or who are citizens of a foreign country, especially hostile countries.

Any information which tends to show the individual may be subjected to coercion or pressure should be identified as derogatory information and resolved, including frequent and/or prolonged foreign travel. In resolving information regarding close relatives or associates, it is important to understand the nature of the relationship and the frequency of contact between the subject and the relatives or associates. Therefore, the following information should be obtained from all applicants/employees where evidence of foreign relatives or associates is identified in the background investigation case papers or the actual background investigation:

a. Name and address of the foreign citizen (i.e., aunt, uncle, cousin, close friend, etc.);

b. Relationship between subject and foreign citizen (i.e., aunt, uncle, cousin, close friend, etc.);

c. The frequency of contact- past, present and future-with the foreign citizen; or

d. The form of such contact (personal visits, letters, cards or telephone calls).

(3) Undesirable Character Traits. Any trait(s) which may show the individual to be unreliable, untrustworthy or open to compromise is significant in the adjudication of the case. This information may be given by an open or confidential source, be derived from an arrest record or be indicated by the falsification of employment applications or personal history statements.

All such information must be viewed in relation to the rest of the file.

Isolated incidents in a person's background are viewed less significantly than a continuing or emerging pattern of behavior.

The adjudicator should try to obtain a complete picture for employment purposes. Undesirable character traits could also place an individual in a compromising situation where coercion or pressure might be used to blackmail an applicant/employee. The following examples are provided:

(a) Sexual Conduct: Sexual conduct and behavior become important to the adjudication of a background investigation when there is evidence that the individual could be coerced or blackmailed due to sexual conduct. Should it be determined that an applicant/employee could be subjected to coercion because of sexual conduct, this information must be addressed and resolved.

If sexual conduct becomes germane, homosexual and heterosexual conduct will be treated the same.

(b) Alcoholism: Any information which tends to show that the individual uses alcohol to excess, or any information that shows alcohol use affecting job performance should be identified as derogatory information. Look for a pattern of behavior vs.

an isolated incident.

(4) Mental Disorders/Treatment: Medical treatment for a mental condition, as distinguished from marriage counseling and social services counseling for family problems, is significant and must be clarified to determine whether the subject's job performance may be adversely affected. The purpose of identifying this kind of information is to remove any reasonable doubt regarding the current seriousness of a problem.

Temporary depression related to the death of a loved one or the failure of a marriage is to be expected, whereas long term depression would cause considerably greater concern.

Medical treatment for a mental/emotional disorder must be accompanied by a recommendation from a competent medical authority that the employee is capable to perform the duties of a sensitive position.

5. Financial Responsibility. Indebtedness becomes a legitimate concern when an individual begins to fall behind on credit card payments, alimony, child support, rent, car loans, etc. Nonpayment of a just debt after 90 days is considered delinquent and requires resolution. It is important to determine if the individual considers the debt just.

Some debts are clearly not the responsibility of an individual and may be the result of careless record keeping by credit reporting agencies.

Refusal to admit to a just debt is not enough to resolve an unfavorable credit record. A derogatory credit report must be resolved by the individual and appropriate documentation provided. Any disputes between the employee and the credit agency must be resolved by the subject and documentation submitted.

Similarly, the repossession of an automobile for non-payment, and eviction from rental housing for non-payment, should be explained by the employee and documentation provided to show that any remaining indebtedness following the eviction or repossession has been resolved.

a. Debts to be resolved:

1. When employee past due debts total $400 or more; and,

2. Debts are 90 days or more past due.

(5) Dishonesty. Individuals entering service under this contract must be “....trustworthy...and of good conduct and character...” This requires that employees are honest when filling out all employment documents.

Discrepancies on these forms may be an indication that the applicant/employee has falsified one of the forms to either conceal past behavior, or to exaggerate or misrepresent qualifications or suitability. In either case, all discrepancies must be resolved.

(6) Arrests: An arrest, regardless of the offense or when it was committed, is derogatory information and should be so stated. The nature and severity of the offense and when it was committed will have a bearing on the adjudication. Generally, the more recent the offense the greater impact it will have on the adjudication.

An arrest that resulted in a conviction and fine/imprisonment must be accompanied by sufficient evidence that the applicant/employee has been rehabilitated.

(7) Drug Usage: Evidence of the illegal use of prescription or nonprescription drugs by an employee requires resolution. In resolving drug related derogatory information, the offense must be viewed against the age of the applicant/employee and when the offense occurred. In addition, information should be obtained and consideration given regarding what drug(s) were used, how often, and any treatment the employee receive for drug usage.

(8) Confidential Source Information: Background investigations will sometimes contain information provided by sources who request confidentiality under the Privacy Act. It is not permissible, in most cases, to include this information in the resolution of derogatory information because of the risk of identifying the source. Only information that is otherwise substantiated elsewhere in the investigation or pre-employment documents and from unprotected sources can be used.

(9) Classified Information. Similarly, National Security Information classified at the "Confidential," "Secret," and "Top Secret" levels sometimes appears in background investigations. Background investigations containing such information shall be handled appropriately by the contractor.

E. PROCEDURES TO RESOLVE DEROGATORY INFORMATION: Once derogatory information has been identified, either during the pre-employment process or in the review of the background investigation, it must be resolved. Resolution usually is presented in the form of written documentation obtained through an interview with the employee.

Derogatory information revealed in the pre-employment screening process that falls within the Guidelines of Acceptability or for which a waiver was obtained does not have to be formally addressed in adjudicating the investigation. The adjudicator should make note that the information was considered during the pre-employment screening and is within the Guidelines or a waiver was obtained. Waivers should be submitted with the investigation.

Attachment J-10

FEDERAL BUREAU OF PRISONS SERVICE CONTRACT

BUSINESS MANAGEMENT QUESTIONNAIRE

Purpose:

The policy of the Federal Bureau of Prisons in acquiring services is to encourage firms lawfully engaged in the practice of performing Government required services to submit a statement of qualifications and performance data.

This questionnaire should only be submitted by a related services organization when requested to do so by the specific provisions of a solicitation, requested by the Contracting Officer, or public announcement.

This questionnaire may be used as a basis for selecting firms for discussions, or screening organizations preliminary to inviting submission of additional information.

Definitions:

(a) "Principals" are those individuals in a firm who possess legal responsibility for its management. They may be officers, directors, owners, partners, and persons having primary management or supervisory responsibilities within a business entity (e.g., general manager, plant manager, head of a subsidiary, division or business segment, and similar positions).

(b) "Parent Company" is that firm, company, corporation, association, or conglomerate which is the major stockholder or highest tier owner of the firm completing the questionnaire; (i.e. Firm A is owned by Firm B which is, in turn, a subsidiary of Corporation C. The "parent company" is Corporation C).

(c) "Joint Venture" is a collaborative undertaking by two or more firms or individuals for which the participants are both jointly and individually responsible.

(d) "Consultant" as used in this questionnaire, is a highly specialized individual or firm having significant input and responsibility for certain aspects of a project and possessing unusual or unique capabilities for assuring success of the finished work.

(e) "Specialists and Individual Consultants" as used in this questionnaire, refer to individuals who have major project responsibility, or will provide unusual or unique capabilities for the services…