Part III. Sect J.pdf

RFP-PCC-0016, Section J, Page 1 of 115

RFP-PCC-0016

PART III - LIST OF DOCUMENTS, EXHIBITS, AND OTHER

ATTACHMENTS

SECTION J - LIST OF ATTACHMENTS

Attachment No.

Title Page No.

J-1 Wage Determinations 2

J-2 Evaluation Techniques for Quality Assurance of Contractor Performance

3-4

J-3 Performance Requirements Summary Table (PRST) 5-9

J-4 Contractor Quality Control 10-11

J-5 Award Fee Determination Plan 12-14

J-6 Standards of Conduct 15-18

J-7 Scope and Coverage of a Limited Background Investigation (LBI)

19-21

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

22-23

J-9 Adjudication Standards for Resolving Limited Background Investigation (LBI) and Periodic Reinvestigation

24-30

J-10 Business Management Questionnaire 31-35

J-11 Subcontracting Plan 36-46

J-12 Question Submittal Form 47

J-13 Offeror’s Intent to Propose 48

J-14 Required Government Space 49-50

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

51-67

J-16 SENTRY Rules of Behavior 68

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

69-84

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

85-92

J-19 Information Systems Equipment 93-97

J-20 Procedures for Implementation of Walsh Act Civil Commitment of Sexually Dangerous Persons

98-107

J-21 Past Performance Questionnaire 108-116

RFP-PCC-0016, Section J, Page 2 of 115

Attachment J-1

WAGE DETERMINATIONS

The wage determinations shall be incorporated via amendment.

RFP-PCC-0016, Section J, Page 3 of 115

Attachment J-2

EVALUATION TECHNIQUES FOR QUALITY ASSURANCE

OF CONTRACTOR PERFORMANCE

General: In accordance with the Inspection of Services--Fixed- Price 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), Performance Work Statement (PWS), professional guidelines referenced by the PWS, 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 requirements, unilaterally change the vital functions identified in the Performance Requirements Summary Table (PRST). A minimum of 30 calendar days before the beginning of each evaluation period, the Contracting Officer (CO) will notify the contractor of any changes. 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 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 Plan

RFP-PCC-0016, Section J, Page 4 of 115

(QAP). The assessment process is intended to facilitate the identification of strategic issues important to the QAP and QCP and a mutual understanding of both by BOP and contractor staff.

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

Generally, program reviews will be of two types:

1. Systematic - These reviews will be scheduled inspections focusing on a specific discipline.

Inspections may be performed by onsite BOP monitors or by other parties designated by the CO as representatives of the BOP.

2. 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 entirely different inspection approach.

Program Review Findings: At the conclusion of each review, a report (Contract Facility Monitoring Report) will be written documenting any findings identified during the monitoring.

Contractor Progress Report: The contractor shall receive a Contractor Progress Report within 60 days of the end of the six-month evaluation period.

RFP-PCC-0016, Section J, Page 5 of 115

Attachment J-3

PERFORMANCE REQUIREMENTS SUMMARY TABLE (PRST)

The purpose of this attachment is to list each contract requirement and the vital functions essential to successful performance of each contract requirement, summarize the vital functions and 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 (Unit/Case 10% 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.

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CONTRACT REQUIREMENT: CORRECTIONAL SERVICES (Security/ 20% 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.

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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, in a timely manner 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.

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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 General Education Development (GED), English as a Second Language (ESL) and recreational programs are provided.

Programs are accessible for the inmate population and program availability is communicated.

(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 and processed 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.

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(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 HEALTH/ 5%

FACILITIES

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

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Attachment J-4

CONTRACTOR QUALITY CONTROL

Contractor Quality Control: Quality performance and quality control are the responsibility of the contractor. In accordance with Federal Acquisition Regulation (FAR) 52.246-4, Inspection of Services--Fixed-Price, the contractor shall establish and maintain a complete Quality Control Program (QCP). This program shall:

1. be implemented upon receipt of the Notice to Proceed (NTP); and

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.

A complete QCP addressing all areas of contract performance shall be submitted to the Contracting Officer/Contracting Officer’s Representative (CO/COR) 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. If the QCP is changed during the life of the contract, the contractor must immediately provide an updated copy to the CO/COR.

The QCP shall include, at a minimum:

1. specific areas to be inspected on either a scheduled or unscheduled basis and the method and frequency of inspection;

2. position(s) or individual(s) responsible for the inspections;

3. compliance with the requirements of the Government’s Quality Assurance Plan (QAP);

4. procedures for written and verbal communication with the Government regarding QCP findings; and

5. procedures for investigation of complaints by contractor and Government staff and feedback to the Government on the actions taken to resolve such complaints.

RFP-PCC-0016, Section J, Page 11 of 115

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

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

Failure by the contractor to maintain quality control to ensure acceptable performance can result in adverse contract action to include termination for default.

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Attachment J-5

AWARD FEE DETERMINATION PLAN

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

During the base period and each succeeding option period, the contractor may earn a minimum award fee of zero dollars to a maximum award fee of five percent of the total payment received for the period rated (excluding reimbursable services). The balance of any unearned award fee for the evaluation period will not be carried over to any subsequent evaluation period.

Responsibilities: The Performance Evaluation Board (PEB) assesses performance information and makes recommendations to the Fee Determination Official (FDO).

The 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.

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

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 it wishes 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 recurrence.

RFP-PCC-0016, Section J, Page 13 of 115

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.

Evaluation: The PEB and FDO may consider performance information (including that which is measured against the Performance Requirements Summary Table), Contract Facility Monitoring reports, 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 limited in number and not serious in nature.

Program performance exceeds expectations and demonstrates initiative and exceptional effort.

50% - 100%

Rating Performance Description Award Fee Range

RFP-PCC-0016, Section J, Page 14 of 115

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%

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

0%

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.

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Attachment J-6

STANDARDS OF CONDUCT

The contractor’s written policy, procedures and practice (hereinafter referred to as “Standards of Conduct”) on employee conduct, ethics and responsibility shall include each of the standards listed in this section.

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

C The contractor shall notify employees, subcontractors and volunteers 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, Bureau of Prisons (BOP), Department of Justice (DOJ) and the United States Government. This standard applies to on duty and off duty activities.

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 United States 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

RFP-PCC-0016, Section J, Page 16 of 115 such information in the performance of their official duties consistent with the scope of their employment.

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.

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 use brutality, physical violence or intimidation toward inmates or use any force beyond which is reasonably necessary to subdue an inmate.

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 immediately report any such contact in writing to the Warden.

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.

C Employees shall not engage in any conduct criminal in nature

RFP-PCC-0016, Section J, Page 17 of 115 or which could bring discredit upon the facility, BOP, DOJ, or United States Government. Employees’ conduct must be above reproach. It is expected 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 specifically stating 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 to the Warden or other appropriate authorities 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 and avoid relationships that may give the appearance of being partial or inappropriate.

Examples of inappropriate supervisor/subordinate

RFP-PCC-0016, Section J, Page 18 of 115 relationships include but are not limited to:

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

(running errands, etc.)

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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 (NAC), 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 18 birthday except to ensure a minimum of 2 yearsth 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:

- National Agency Check consists of a check of Office of Personnel Management’s (OPM) 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

RFP-PCC-0016, Section J, Page 20 of 115 civilian and military personnel. It is checked by inquiry, linkage and record search only.

- 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 United States Code.

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

- Education is covered by personal coverage and record search only 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 only for related issue information shown on the case papers.

- Stateside Military Service (over 6 months) is covered by personal coverage and record search only 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?

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

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

• How is the person’s financial responsibility/ability to live within their means?

- Expanded law enforcement searches (including county and state criminal records where available).

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Attachment J-8

SCOPE AND COVERAGE OF A

PERIODIC REINVESTIGATION-RESIDENCE (PRIR)

The Periodic Reinvestigation is a reinvestigation conducted every 5 years. It includes the National Agency Check, personal subject interview, residence and selected records searches.

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:

- National Agency Check consists of a check of Office of Personnel Management’s (OPM) 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 search only.

- 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 the 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.

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

- Stateside Military Service is not scheduled.

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Attachment J-9

ADJUDICATION STANDARDS FOR RESOLVING

LIMITED BACKGROUND INVESTIGATION (LBI)

AND PERIODIC REINVESTIGATION

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. (Any reference to “government employee” within this document includes persons working under contract.) 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.

B. PURPOSE: The purpose of this document is to assist those individuals 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 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

RFP-PCC-0016, Section J, Page 25 of 115 demonstrates 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 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 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 Chief Executive Officer.

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

RFP-PCC-0016, Section J, Page 26 of 115 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 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 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 Bureau of Prisons (BOP). If an applicant is found to be unsuitable for employment, the BOP does not need to be advised.

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

2. Close Relatives and Associates. In reviewing a background investigation, attention should be given to evidence the subject of the investigation has close

RFP-PCC-0016, Section J, Page 27 of 115 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, derived from an arrest record or 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

RFP-PCC-0016, Section J, Page 28 of 115 become important to the adjudication of a background investigation when there is evidence the individual could be coerced or blackmailed due to sexual conduct. Should it be determined 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 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.

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

RFP-PCC-0016, Section J, Page 29 of 115 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 any remaining indebtedness following the eviction or repossession has been resolved.

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

Discrepancies on these forms may be an indication 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.

7. 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 the applicant/employee has been rehabilitated.

8. 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 received for drug usage.

9. 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

RFP-PCC-0016, Section J, Page 30 of 115 otherwise substantiated elsewhere in the investigation or pre-employment documents and from unprotected sources can be used.

10. 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 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.

RFP-PCC-0016, Section J, Page 31 of 115

Attachment J-10

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.

RFP-PCC-0016, Section J, Page 32 of 115

(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 under consideration.

RFP-PCC-0016, Section J, Page 33 of 115

FEDERAL BUREAU OF PRISONS SERVICE CONTRACT

BUSINESS MANAGEMENT QUESTIONNAIRE

1. Organization Name:

2. Under what other or former names has your organization operated?

3. If your organization is a corporation, provide the following:

(i) Date of incorporation: _________________

(ii) State of incorporation: ________________

(iii) Identify President (CEO), Vice President, Treasurer and Secretary (include Date of Birth, Place of Birth, Social Security Number, Race and Gender):

4. If your organization is a partnership, provide the

(i) Date of organization:_______________________

(ii) Type of partnership (if applicable):____________

(iii) Name(s) of general partner(s) (include Date of Birth, Place of Birth, Social Security

5. If your organization is individually owned, provide the

(i) Date of organization:

(ii) Name of owner (include Date of Birth, Place of Birth, Social Security Number, Race and Gender):

RFP-PCC-0016, Section J, Page 34 of 115

(iii) If the form of your organization is other than that listed above, describe it and the name of the principals (include Date of Birth, Place of Birth, Social Security

6. LICENSING. (Attach additional pages as necessary.)

a. List jurisdiction and trade categories in which your organization is legally qualified to do business, and indicate registration or license numbers, if applicable.

b. List jurisdictions in which your organization's or trade name is filed.

7. FINANCIAL DATA. (Attach additional pages as necessary.)

a. Trade References.

b. Bank References.

8. PROOF OF FINANCING

a. Attach a financial statement, preferably audited, including your organization's latest balance sheet, cash flow statement, and income statement providing at a minimum the following items:

- Current Assets (e.g., cash, joint venture accounts, accounts receivable, notes receivable, accrued income, deposits, materials inventory, and prepaid expenses);

- Net fixed Assets;

- Other Assets;

- Current liabilities (e.g., accounts payable, notes payable, accrued expenses, provision for income taxes, advances, accrued salaries and accrued payroll taxes);

- Other liabilities (e.g., capital, capital stock, authorized and outstanding shares per values, earned surplus and retained earnings).

RFP-PCC-0016, Section J, Page 35 of 115

b. Name and address of firm preparing attached financial statement, and date:

c. Is the attached financial statement for the identical organization named on page one? If not, explain the relationship and financial responsibility of the organization whose financial statement is provided (e.g., parent-subsidiary).

9. SIGNATURE

18 U.S.C. 1001, False Statements Act provides:

Whoever, in any matter within the jurisdiction of any department of agency of the United States knowingly and willingly falsifies, conceals or covers up by any trick, scheme, or device a material fact, or makes any false, fictitious or fraudulent statements or representation, or makes or uses any false, fictitious or fraudulent statement or entry, shall be fined not more than $10,000 or imprisoned not more than five years, or both.

Dated ____________________ this __________ day of 20___

Name of Organization __________________________________

By: ___________________________________________________

Title: ________________________________________________

M_____________________________ being duly sworn deposes and says that the information herein is true and sufficiently complete so as not to be misleading.

Subscribed and sworn before me this _____________ day of 20___

Notary Public:

My Commission Expires:

RFP-PCC-0016, Section J, Page 36 of 115

Attachment J-11

SUBCONTRACTING PLAN

*Note: A fillable PDF version of the subcontracting plan is available upon request from the Contracting Officer.

For small, small-disadvantaged, women-owned, HUBZone, veteran-owned, and service-disabled veteran-owned small businesses

The…