SOW-Attachment II.pdf

Prison Rape Elimination Act (PREA) Certification of Compliance

Federal Bureau of Prisons

Statement of Work

1.0 INTRODUCTION AND OBJECTIVE

1.1 Introduction

The passing of the Prison Rape Elimination Act (PREA)1 into law in 2003, necessitated the creation of federally recognized prison and jail standards, and the implementation of these standards by all local, state, and federal law enforcement agencies2. For adult prison facilities, PREA includes 45 standards regarding sexual safety for those in confinement to prevent, detect and respond to sexual abuse in detention and correctional facilities.

In 2013, when the final PREA Standards were published by the Department of Justice (DOJ) and became effective, the Federal Bureau of Prisons (FBOP) issued national policy to incorporate all PREA standards as vital performance areas for every federal institution. FBOP PREA policy is intended to educate both employees and Adults in Custody (AICs) on inappropriate sexual behavior in prison, implement practices to minimize the opportunity to engage in sexually inappropriate behavior, and develop sound after-action procedures to mitigate recurring sexually inappropriate behavior in prison.

In part, the law requires ongoing auditing by external DOJ certified auditors whose primary role is to ensure compliance with the published PREA standards. Coordination of the audit process for the FBOP is managed through the Program Review Division (PRD).

1.2 Objective

PRD seeks to obtain certification of compliance with the 45 applicable Prison and Jail PREA standards by an unassociated third-party source3. The FBOP seeks to obtain this certification for all 122 of its field institutions.

2.0 SCOPE OF WORK

The FBOP has solicited for a third-party contract servicer with DOJ-certified PREA auditors, specifically trained to perform PREA compliance audits. The Contractor is responsible for providing one (1) deliverable; namely, a report indicating conclusions regarding the FBOP’s compliance with all applicable PREA standards and documented rationale behind the auditor’s determination. The report will be written based upon the auditor’s thorough review of FBOP policy, interviews with employees and AICs, and in-person observations obtained while on-site at each facility. When documenting conclusions related to the 45 applicable PREA standards, each standard will be discussed in detail indicating the level of compliance perceived and the supporting information the auditor utilized to determine his/her decision.

The PREA auditing period for each facility will begin six weeks prior to the facility’s on-site audit and conclude in one of two ways. If the auditor finds the institution 100% compliant with all applicable PREA standards, the audit period will conclude 45-days post the end of the on-site audit, with a final report submitted to the PREA Resource Center (PRC)4. If the auditor finds an area of noncompliance, a preliminary report is written indicating the standards found noncompliant and a 180-day corrective action period commences. An explanation of the corrective action necessary to gain compliance will be documented in the narrative of that standard in the report and the auditor will assist the institution in developing a plan of action for all standards found to be noncompliant. In this situation, the auditing period concludes with a final report submitted to the PRC either 30-days post the facility gaining sustained compliance, or 30-days after the expiration of the corrective action period, whichever occurs sooner.

3.0 AUDITOR QUALIFICATIONS, PREA AUDIT CYCLE, AND SCHEDULING

3.1 Auditor Qualifications

The Contractor shall ensure the academic experience and/or qualifications of the auditor comply with the requirements outlined in PREA Law and enforced by the PRC as follows:

An audit shall be conducted by either:

• A member of a correctional monitoring body that is not part of, or under the authority of, the FBOP (but may be part of, or authorized by, another federal government agency, state government or local government authority);

• A member of an auditing entity such as an inspector general’s or ombudsperson’s office that is external to the agency; or

• Other PREA auditor, qualified by DOJ, based upon experiences that differ from the traditional experience in working for an auding body addressing issues of relevance to a correctional setting, but who none-the-less, meets the experience required by DOJ’s PRC to be trained and reviewed as a PREA auditor.

In addition to ensuring approved experience/qualifications, the individuals utilized for FBOP audits must pass all assessments required to be certified as a DOJ PREA auditor and as such, will carry the distinction of “Department of Justice Certified PREA Auditor.”

All PREA auditors performing FBOP PREA audits must have their audit certification current and in good standing during the entire audit process. No decertified auditor or support employee will be authorized to assist with an audit inside of a FBOP facility. If an auditor currently assigned to a FBOP audit is notified of an issue that may call their ability to determine compliance or write an accurate report into question, the Contractor is expected to relay this information to the FBOP Contracting Officer or his/her representative within 24 hours of such notification. The decision as to whether to allow the auditor to complete the FBOP audit in process shall be at the sole discretion of the FBOP. In either case, it is the responsibility of the Contractor to provide an alternative solution to continuing with the original auditor if that is the decision rendered by the FBOP.

No audit may be conducted by an auditor who has received financial compensation from the FBOP (except for compensation received for conducting prior PREA audits) within the three years prior to the FBOP’s retention of the auditor as required per DOJ Ethics Code. Similarly, the FBOP shall not employ, contract with, or otherwise financially compensate the auditor for three years after its retention of the auditor, apart from contracting for subsequent PREA audits.

All auditors will be approved by the COR and/or Management Analyst prior to the start of an audit period. Denial of a Contractor’s appointed auditor(s) from participation in an FBOP PREA audit will occur at the discretion of the FBOP, based upon considerations to include, but not limited to: criminal history, prior FBOP interaction/employment, professional experience (or lack thereof) as outlined above, behavioral/professional issues noted during the current or a prior FBOP audit; and reported/observed physical/psychological characteristics deemed to affect ones fitness to safely enter the confines of a correctional facility.

3.2 The PREA Audit Cycle

Once in every three-year audit cycle, a PREA auditor(s) will conduct an on-site visit, conduct interviews, and review documentation for all 122 FBOP institutions, at the Agency’s 97 locations, to determine each locations level of compliance with the PREA standards. The FBOP will determine the schedule for when each institution’s PREA audit will take place during each three-year auditing period.

3.3 PREA Audit Scheduling Logistics

3.3.1 Initial Scheduling: This contract will ensure the scheduled auditing of the FBOP’s 122 institutions. Every institution must receive a PREA audit at least once during each continually occurring three-year cycle period, as required by §115.401 of the PREA standards. Roughly 31- 33 facility locations will be audited during the base period and each option year period exercised thereafter as follows:

Base period: April 1, 2025, to August 19, 2025 Option Period 1: August 20, 2025, to August 19, 2026 Option Period 2: August 20, 2026, to August 19, 2027 Option Period 3: August 20, 2027, to August 19, 2028 Option Period 4: August 20, 2028, to August 19, 2029 Option to Extend Services: August 20, 2029, to March 31, 2030

Please note, the above schedule only pertains to the three year cycle requirement. The base and option period dates of service are as follows: Base period: 4/1/2025-9/30/2025, OY 01: 10/1/2025- 9/30/2026, OY 02: 10/1/2026-09/30/2027, OY03: 10/1/2027-09/30/2028 & OY 04: 10/1/2028- 9/30/2029.

Prior to the beginning of each option year covered under the contract, the FBOP will provide the Contractor a list of facilities to be audited for that option year. Despite the FBOP’s best efforts, the Contractor must understand the list provided is fluid and subject to change. Ordinarily, the annual audit schedule for site visits will be provided to the Contractor no later than June 1 of each year for the following exercised option year.

The Contractor will have 45 calendar days from the ratification of the next option year to provide the FBOP with the list of auditors assigned to each institution site on the schedule for the duration of that fiscal year. Within this same timeframe, auditor qualifications will be provided to the COR by the Contractor for any auditor participating in a FBOP audit for the first time.

An audit of a correctional institution requires up to three days onsite. Normally, audits will begin on Tuesday and end no later than the close of business on Thursday of that same week. The specific start and end times of the audit will be determined by the assigned Management Analyst.

The daily audit hours will mimic the institution’s normal day watch hours to ensure auditor access to the employees necessary for interview and further explanation of pre-audit paperwork.

The schedule will be adjusted as necessary to ensure auditor access to employees on all shifts while on-site. This daily work schedule will be provided to the Contractor by the Management Analyst prior to the audit. No more than 8.5 hours will be scheduled in a workday, which includes time set aside for a 30-minute lunch. Additional time required to complete an on-site audit will be considered on a case-by-case basis and in accordance with FBOP policy and any local employee Union agreements. The assigned Management Analysts will assist in time management, if necessary, to minimize the need for irregular officer shifts or the implementation of overtime, ordinarily negotiated and agreed upon by the Union.

The on-site audit of all 122 FBOP correctional institutions will be properly staffed by the Contractor to meet the timeframes listed above. Ordinarily sufficient staffing will include:

Two (2) - three (3) auditors at any Federal Correctional Complex;

One (1) - two (2) auditors for stand-alone United States Penitentiaries, Federal Correctional Centers, Metropolitan Detention Centers, Metropolitan Correctional Centers, Federal Medical Centers, and the Federal Transit Center; and, One (1) auditor for Federal Prison Camps and Central Office.

Any planned deviation from these assignments will be approved by the COR and/or Management Analyst at least seven (7) days prior to the official start of the PREA audit process.

3.3.2 Rescheduling/Cancellation of Audits

The FBOP reserves the right to cancel and/or reschedule any on-site audit previously scheduled and agrees to inform the Contractor as soon as possible, ordinarily no later than seven (7) days prior to the audits official travel day. Similarly, the FBOP reserves the unilateral authority to cancel the entire audit process for any facility under FBOP jurisdiction for any reason. This non-negotiable allows the Agency to ensure the safety of all auditors, employees, and AICs.

Contractor requests for audit schedule changes must ordinarily be approved by the COR and/or Management Analyst and occur at least 60-days prior to the first travel day of the pre-scheduled audit. An auditor replacement is always preferred to audit rescheduling/cancellation. Under no circumstances will the price of travel be considered as an acceptable reason for audit reschedule/cancellation.

Barring uncontrollable forces of nature such as weather, travel restrictions, and auditor medical emergencies, Contractor requests for reschedule/cancellation made less than 60-days prior to the first travel day of the on-site audit may result in documentation of the incident in the CPARS contractor rating system. If scheduling problems persist and/or appear systematic in nature, the situation may result in the FBOP declining to exercise future option years as contracted.

4.0 CONTRACTOR PERFORMANCE TASK SPECIFICS (GENERAL AUDITING

EXPECTATIONS, PRE-AUDIT PROCESS, ON-SITE AUDIT PROCESS, POST-AUDIT

PROCESS AND QUALITY ASSURRANCE

4.1 Contractor Performance Task Specifics: General Auditing Expectations

4.1.1 Contractor Communications with FBOP: The Contractor and its auditors will comply with the procedures the FBOP has put in place to streamline the flow of information from auditor to institution via FBOP Central Office and vice versa. The Contractor and its auditors will:

• Provide all pertinent information for each assigned audit to the FBOP’s assigned Contracting Officer (CO) or his/her designee, which for purposes of this PREA audit contract, is the Contracting Officer’s Representative (COR). Such information should include, but is not limited to, processes utilized during all stages of the audit process (e.g., documentation review, interviews, auditor observations, etc.) the expected level of FBOP participation deemed necessary by the assigned auditor, and a detailed explanation of each PREA standards individual compliance finding, as well as the overall level of compliance with PREA for the facility.

• Cooperate with FBOP representatives regarding FBOP requests within the confines of the contract, meeting deadlines; being responsive to requests for additional information related to auditor qualifications, scheduling concerns, and questions related to compliance determination; etc. For purposes of this contract, FBOP representatives include, but are not limited to its CO, COR, the Management Analysts, Chief, and Administrator of the PREA Auditing Section (PAS), responsible for facilitating the flow of information between FBOP institutions and the contract auditors.

• Respond to contact made by the COR, Management Analyst, or other FBOP representative within two (2) business days from sent receipt.

• Ensure all facilities are provided all relevant information, manuals, and software required for the PREA audit.

• Auditors are not authorized direct contact with institution employees during any time other than the on-site portion of the audit process. All necessary communication will occur through the assigned Central Office Management Analyst. Any issue or clarification pertaining to the audit itself the auditor may have will be routed through the Management Analyst to the institution. Examples of such scenarios include, but are not limited to, request for additional information regarding a particular standard, logistical questions related to travel or the local area, and assistance in scheduling institution employee and AIC interviews.

4.1.2 Legal Considerations: The Contractor shall conform to the requirements of the Freedom of Information Act (5 U.S.C. § 552) regarding the disclosure of records and information furnished by the FBOP or created by the auditor during the audit process. Ordinarily, the FBOP’s physical/electronic documentation will not be allowed out of government databases or the confines of the institutions. Auditors will have access to all requested information during the time of the on-site audit. Release of information from FBOP institutions and databases will be considered on an individual basis and would require redaction of said information for confidentiality purposes and protection of Personally Identifiable Information (PII). While the final PREA Audit Report becomes publicly available, it is only after an in-depth sensitivity review by FBOP employees with specific training in this and other applicable statutes, policies, and regulations that the reports are made public. As such, the FBOP requires any request for information the Contractor or one of its auditors receive from a third party be discussed with the FBOP prior to any information, including the final audit report, is released. The contractor cannot independently release any information without the expressed written approval of the

FBOP.

Similarly, the Contractor and its auditors shall comply with the requirements of the Privacy Act (5 U.S.C.§ 552a) in reference to the handling of AIC records. Ultimately, the FBOP will provide such collateral information requested by the auditor(s) in the way deemed most secure and least likely to jeopardize the security of this private and confidential information.

4.1.3 Ethical Considerations: Except as required or authorized by the PREA auditing standards;

federal, state, or local law, judicial order, this contract, or as permitted by the FBOP, the contractor and its subcontracted auditors will not make any oral or written public statements – including, but not limited to, statements to the press, conference presentations, lectures, or articles – with regard for the status of the FBOP’s compliance or noncompliance with PREA standards, or any act or omission of the FBOP or its employees.

The Contractor and its auditors will not accept employment or provide consulting services that would present a conflict of interest with his/her responsibilities under this contract, with the PREA auditing standards, or with auditor ethical guidance provided by the PREA Resource Center5 or the U.S. Department of Justice (DOJ), including, but not limited to, being employed or retained by the FBOP for purposes other than PREA auditing during the three-year period prior to the audit, or during the three-year period subsequent to the audit.

Except as required or authorized by the terms of this contract, or by permission of the FBOP, the Contractor and its auditors shall not testify in any litigation or proceeding regarding the status of the FBOP’s compliance or noncompliance with the PREA auditing standards; or any act or omission of the FBOP or its employees. If the auditor is lawfully compelled to provide such information, the auditor and/or the Contractor responsible for auditor oversight shall immediately notify the FBOP.

4.1.4 Handling of Confidential or Personal Identifying Information: As auditors trained to perform PREA audits, it is the expectation in addition to the legal and ethical considerations noted above, all auditors performing FBOP audits will adhere to the safety and security requirements endorsed by the PRC including as described in Chapter 5: Auditor Code of Conduct Guiding Principles in The PREA Auditor Handbook, Version 2.1 (2022)6.

Specifically, Auditors will (and the Contractor will ensure the auditor):

• Protect and safeguard all PREA information in their custody, including that which contains personally identifiable information, commensurate with the sensitivity and value of the data at risk.

• Protect and safeguard all PREA information and information systems in their custody from unauthorized access, unauthorized or inadvertent modification, disclosure, damage, destruction, loss, theft, denial of service, and improper sanitization or use.

• Ensure the safekeeping and confidentiality of any and all sensitive correspondence received in the course of a PREA audit, unless otherwise required by law to disclose such information.

• Not share the passwords to their computers, laptops, or other mobile devices holding sensitive PREA audit data.

• Not leave sensitive PREA audit-related information, in either electronic or paper format, in a public place or outside of their supervision.

• Screen-lock or log-off any computers or devices holding sensitive PREA audit data when outside their supervision.

• Ensure that individuals have the proper clearance, authorization, and need to know before providing them with access to any sensitive PREA information.

• Immediately destroy when no longer needed any information not required by law or policy to be retained.

4.1.5 Summation of Auditing Procedures: The auditor(s) shall evaluate each facility in accordance with the PREA standards applicable to adult correctional agencies5. Auditors may only use the standards originating out of PREA law applicable to the AIC population housed in the FBOP. For example, standards that comment on specifics of juvenile and contract facilities are currently not applicable to the demographics of FBOP institutions and thus any comments referring to such inapplicable standards will be limited to only this fact for purposes of determining PREA compliance.

For each applicable standard, the auditor(s) assumes the responsibility and authority to independently observe, assess, review, and report on the FBOP’s implementation and compliance with the PREA standards. To accurately assess compliance at the federal institutions, the auditor will: conduct an on-site inspection; observe programs and activities; interview employees; individually interview a sample of AICs; and conduct a detailed review of supporting documentation provided by both the institution and the FBOP Central Office. Auditor decisions on issues of compliance will remain independent of the FBOP’s own internal audit process.

4.2 Contractor Performance Task Specifics: Pre-Audit Process

The audit period for each institution assigned begins six-weeks prior to the on-site audit. During this pre-audit period, FBOP will make the necessary notifications to institution employees and AIC population.

4.2.1 Receipt of PREA Documents: The FBOP will provide auditors with PREA-related documentation, including, but not limited to the PREA Assessment Questionnaire (PAQ) and all supporting documentation including necessary policy and procedure for the PAQ approximately four weeks prior to the site visit. The Contractor and its auditors shall maintain these documents in accordance with the secure manner noted in the section entitled, Handling of Confidential or Personally Identifiable Information above and destroy the documents after fifteen (15) months as required in the DOJ Certified PREA Auditor Handbook.

The COR/Management Analyst will send all PREA-related documentation for review to the auditor in the way deemed most secure and least likely to jeopardize the security of this private and confidential information. The decision to choose between modes of data dissemination will be made at the discretion of the FBOP and determined by level of both security and efficiency.

Note: The FBOP will not print and/or copy PREA related documents to a compact disk to be shipped/mailed. Additionally, the FBOP will not transfer specifics from an AIC-on-AIC or Employee-on-AIC investigative case file. All closed investigative files will be made available to the auditor during the on-site portion of the audit at the institution. The Bureau of Prisons will comply with all requests for documentation necessary to conduct the audit as required7.

4.2.2 Storage of Supporting Documentation: The FBOP recognizes the Confidentiality Agreement signed by DOJ Certified Auditors prior to participating in a PREA Audit. That said, the FBOP requires all documentation, including the PAQ data, auditor notes, and additional confidential and PII be stored electronically per a methodology approved by the FBOP and its parent department, The Department of Justice (DOJ).The FBOP will notify the contractor at the beginning of the base year and each option year afterward the means by which this process is expected to occur. All documents should be secured electronically either via password protection or through transmission to the current FBOP approved database no later than the 7-days after the conclusion of the audit process and submission of the PREA final report.

4.3 Contractor Performance Task Specifics: On-Site Audit Process The specific logistics of the on-site portion of the audit will ultimately be determined by the FBOP; however, attempts to meet the requests of the auditor(s) will be made. Ordinarily, the on-site audit will last three (3) days, with the audit being conducted Tuesday through Thursday of the audit week and occurring during an 8.5-hour workday. The daily schedule will be adjusted as necessary to ensure the auditor(s) have access to speak with employees from all institution work shifts.

Travel to and from the facility location will ordinarily occur on Monday and Friday of the audit week. To ensure the completion of the on-site portion of the audit, auditors will not schedule travel home from the institution before 7:00 p.m. on Thursday of the audit week.

The expectation is that the auditor(s) will communicate to the Management Analyst the requirements necessary to complete the on-site portion of the audit at least two weeks prior to arrival. The Management Analyst will work with the institution to create a tour route, schedule interviews, and prepare any additional documentation the auditor requests for review.

The Contractor and its auditors will prepare for the on-site portion of the audit prior to arrival to ensure the audit can be completed within the timeframe allotted. Any documentation provided early by the Management Analyst will be reviewed prior to the on-site audit. If the auditor believes he/she may need assistance to complete the tour, documentation review, and employee and AIC interviews, an additional auditor should accompany the main auditor. While ultimately the number of auditors assigned will remain the decision of the Contractor, the FBOP recommends one or two auditors for the on-site audits of stand-alone facilities and two or three auditors for the audit of a Federal Complex. Auditor requests for additional time at the institution will be considered on a case-by-case basis.

The auditor(s) will participate in an on-site facility tour, engage in interviews with willing employees and AICs, and review documentation provided by the FBOP for the purpose of determining compliance. Both employees and AICs have the right to refuse participation in the audit process, including auditor-requested interviews.

In accordance with Chapter 294, Subchapter 7-3.b., of the Federal Personnel Manual, signed Consent for Release of Information forms obtained by the FBOP are required from individual employees before any member of the auditing team may examine official personnel files to measure compliance in any personnel or training areas.

The Contractor’s auditor(s) will use the information obtained during the on-site portion of the audit process for the sole purpose of determining compliance with the relevant PREA standards.

All documentation provided to the auditor by the institution during the on-site portion of the audit will remain at the institution. Auditors will not be able to take documents or make copies of documents to take with them when they depart the facility. Personal notes related to the documentation provided at the institution will be permitted off the premises; however, these notes must be void of specific employee or AIC information (e.g., AIC register numbers or employee social security numbers).

4.4 Contractor Performance Task Specifics: Post-Audit Process

4.4.1 Basics of Documenting Findings: Each institution’s PREA compliance should be evaluated separately, and the auditor(s) will be responsible for independently verifying compliance for each institution assigned, based upon the summation of the auditing procedures noted above. In other words, the compliance of one institution should neither positively nor negatively affect the verification of compliance for another institution. Further, the auditor(s) will be responsible for documenting such compliance by commenting individually on each of the PREA standards. Depending on the conclusions made by the auditor(s) pertaining to the institutions level of compliance on the PREA standards, the auditor has 45-days to provide either a final report indicating full compliance or a preliminary report indicating areas of non-compliance.

4.4.1.1 No Corrective Action Required: In instances where the auditor has enough information gathered in the pre- and on-site audit portions of the audit process to determine 100% compliance with the standards, the auditor has 45-calendar days to submit the final report to the

FBOP.

4.4.1.2 Corrective Action Required: Within 45 days of the last day of the on-site audit, the auditor(s) will provide a draft of the PREA report. A finding of “Does Not Meet Standard” with one or more of the PREA standards will result in a corrective action period. During this period, the auditor and the FBOP will work jointly, for a maximum of 180-days, to develop a corrective action plan for the standard(s) found to be out of compliance at the time of the on-site audit.

The corrective action plan must contain a timeline for specific minimal remedial measures the FBOP is required to take to achieve a threshold of compliance acceptable to the auditor to exhibit compliance. The institution will deliver, and the auditor will review and comment on the acceptability of such corrective action plans within five calendar days of submission to allow for the longest number of consecutive days possible for the institution to gain and maintain compliance utilizing the auditor approved plan. Additional documentation provided by the institution as evidence of compliance will need to be reviewed by the auditor within an appropriate amount of time given its content, not to exceed seven days.

At the completion of the corrective action timeline, the auditor has 30 calendar days to amend his/her preliminary report to the final report, adding the final determination on compliance post corrective action implementation. While the goal is to have all standards be compliant by the conclusion of the 180-day corrective action period, instances where compliance could not be achieved need to also be included in the final report with a well-documented rationale.

Note that if the institution is able to exhibit a maintained level of compliance with previously non-compliant standards before the 180-day period has ended, the corrective action process may be concluded early; however, the auditor will never terminate the 180-day process early while one or more standards continue to be considered non-compliant.

4.4.2 Quality Assurance of Work Products: Given that PREA Audits of Compliance are required by law and given that the reports are required to be posted publicly on the FBOP’s public webpage and made available to interested parties via the PRC, it is imperative the information in the final report be correct and accurate both grammatically and factually. This level of diligence is expected not only in reference to the audit findings, but also when utilizing FBOP specifics such as employee names, positions, acronyms, policies, and procedures.

The burden of providing factually accurate reports is the sole responsibility of the contractor.

The contractor may delegate some of this responsibility to the auditors, if they deem appropriate;

however, such an agreement would exist solely between the contractor and the DOJ Certified PREA Auditor(s) they utilize. FBOP concerns regarding inadequate and inaccurate reports will be addressed directly with the contractor. Mitigation of the problem by the contractor is an expectation of the contract. Failure to provide sufficient reports will be viewed as a performance issue of the contract and as such, will result in CPAR entries indicating less than satisfactory performance in the report writing process. Continued poor performance in this domain could result in the FBOP requesting the removal of certain auditors from its institutional audit schedule and in the most severe of cases, could result in declination of the next/all additional options years remaining on the contract. As such:

• The Contractor shall have a QA process in place and/or require all auditors assigned to FBOP PREA audits, have their own quality assurance procedure in place. This process should be shared with the COR prior to the initial on-site audit date for the base year and prior to the start of all option years moving forward.

• If the FBOP provides report writing assistance in the form of FAQs, abbreviations, or a list of recurring problems, the expectation is the contractor would enforce the use of such material to assist the auditors in FBOP specific audits.

• While not a primary means of quality assurance, should the FBOP deem it necessary to request edits of specific information portrayed in a PREA report in a nonfactual manner, the expectation is such edits will be corrected prior to the auditor issuing the final report to the Agency and uploading the final report into the OAS system.

• As the report is the auditor’s work product and not a work product of anyone directly associated with the FBOP, the agency reserves the right to post the final PREA report to the FBOP public webpage with the following disclaimer, which also includes Contractor contact information for follow-up related to the PREA audit:

“This report, as required per 28 CFR §115.403, details the findings of an audit that was conducted by an outside contractor to determine the Federal Bureau of Prisons’ (BOP) compliance with the Prison Rape Elimination Act (PREA). As the work product of independent auditors subcontracted by XXXXX, the BOP is not responsible for grammatical or typographical errors. Additionally, any questions or comments regarding the discrepancies or inaccuracies found within this Report should be directed to XXXXX at (XXX) XXX-XXXX, or to the subcontracted independent auditor (name and email address can be found on page one of the report), for explanation and resolution.”

5.0 GOVERNMENT PROJECT MANAGEMENT, COOPERATION WITH PRC

AUDITOR REVIEWS/INVESTIGATIONS, AND CONTROL REQUIREMENTS

5.1 Government Project Management

The FBOP agrees to make all efforts to meet its responsibilities to the Contractor, as outlined below:

Appointment of a Contracting Officer Representative (COR) and/or Management Analyst who ensures the efficiency of the audit process as a liaison, coordinating efforts between the Contractor, auditor(s), institution, and FBOP Central Office. As such, all communication flow from the Contractor/Auditor(s) to the institution and from the institution to the Contractor/Auditor(s) will pass through the assigned Management Analyst. At no time is the Contractor or its auditor(s) authorized to attempt direct contact with institution employees.

Cooperation by the COR and/or Management Analyst with respect to the Contractor’s requests for facility access or documentation, to ensure continued access to information necessary to properly make determinations on compliance. The FBOP will consider all requests on a case-by-case basis with consideration made in relation to employee union agreements, FBOP policy and procedure, and applicable federal statutes and laws.

An annual audit schedule for site visits will be provided to the Contractor no later than June 1 of each year prior to the beginning of the following PREA Auditing Year.

Completion of the steps in the audit process, according to established timetables agreed upon by both parties.

Facility access will be granted to the Contractor and its auditors by the FBOP during the period mutually agreed upon and defined as the on-site portion of the audit process. Ordinarily, Contractor staff, including auditors, will not be granted access to the facility without escort by a FBOP employee. For purposes of this PREA Audit Contract, that employee will be the Central Office Management Analyst assigned to the case, unless that Management Analyst assigns another employee to escort the Contract Auditor. Typically, auditors should not move about the institution independently. At federal facilities, the Warden has the ultimate say regarding movement within the institution; however, during times of normal operations, it is the auditor’s responsibility to ensure the assigned management analyst is aware of their location and the rationale behind that phase of the evaluation.

Contractor invoices submitted for payment will be processed in a timely manner. Invoices for payment will not be dated and/or sent for payment until the FBOP has received the final report.

All invoices sent prior to this point or that include incorrect information (e.g., dates of services, institution where services were rendered, etc.) will be returned for correction by the FBOP Business Office, restarting the 30-day on-time payment window pending a correctly updated invoice.

5.2 Cooperation with PRC Auditor Reviews/Investigations

The FBOP understands that PREA auditors are randomly reviewed by the PRC to ensure the integrity of the audit process. Further, the FBOP understands this may require a review of documentation the auditor utilized during the audit process for the report the PRC has chosen to review. Given the FBOP agrees to allow for electronic storage of all additional documentation the auditor finds pertinent to their decision on compliance, it is the assumption the auditor will have everything required if selected to participate in a PRC Auditor Review. Additional information may be available upon request in electronic form, pending availability of said documentation and a realistic amount of prior notice given by the auditor regarding the request.

All requests for additional information must be made through the FBOP Central Office Management Analyst.

5.3 Control Requirements

The FBOP will share with and, as appropriate, forward to the Contractor any and all announcements, news releases, and responses to the public media that the Government may make relative to its contractual relationship and participation in the PREA certification process.

Should the passing of the Federal Budget be delayed and the FBOP only funded to a certain percentage allocated by a Continuing Resolution, the FBOP will make all attempts to provide the Contractor with updated information regarding payment for services rendered as it becomes available.

Should the delay of the passing of the Federal Budget lead to a complete temporary lack of appropriations to the FBOP, the audit schedule will pause temporarily, pending the passing of the Federal Budget or a Continuing Resolution that provides appropriations to the FBOP.

6.0 THE ANNUAL AGENCY PREA AUDIT

While the annual FBOP Central Office PREA audit remains a PRC recommendation, the FBOP will decide on an annual basis whether this audit will occur. Such a determination will be made upon review of the annual budget, an internal review of the benefits obtained by participation in the voluntary audit, and any other information the FBOP deems relevant to making such a determination. If the FBOP chooses to engage in this audit, the FBOP Central Office PREA audit will be the first to occur in the PREA audit year.

7.0 TRAVEL AND TRANSPORTATION

Cost of travel for auditors, is to be included in the audit fee. Travel will normally take place on Monday and Friday with the institution audits beginning on Tuesday morning and ending on Thursday afternoon. Ordinarily out-going flights will not be scheduled until Thursday after 7:00 p.m., to ensure adequate time is allotted for completion of the on-site audit. Under no circumstances will an auditor conclude an on-site audit prior to its completion to travel home early from the facility site. Deviation from the normal travel schedule requires prior approval by the COR and/or the assigned Management Analyst.

No additional reimbursement for travel is authorized, unless agreed to by the FBOP.

Auditors are responsible for securing their own hotel and making their own travel reservations.

Management Analyst(s) will notify the auditor of the hotel the Management Analyst(s) will be staying at for the audit.

Auditors are not authorized to ride with Management Analysts in rental vehicles, government operated vehicles, and/or employee’s privately-owned vehicles, as the reimbursement for travel costs incurred by the auditor are built into each individual audit as agreed upon by the FBOP and its PREA Contractor.

8.0 CONTRACTOR PERFORMANCE EVALUATION

The FBOP and the Contractor will agree to a means of evaluating the performance of the Contractor and its auditors. These evaluations will occur both upon the conclusion of the on-site audit and at the conclusion of the report writing phase of the audit. Results of these evaluations are important not only for contractor accountability but as a means of ensuring the accuracy and integrity of the audit process and final work product. The FBOP reserves the right to deny participation of an auditor in any future FBOP PREA audits based upon behavior resulting in the compromise of the PREA final report and/or the safe and secure running of the FBOP institutions. Similarly, The FBOP reserves the right to discontinue the contractual agreement or to decline the exercise of any remaining contracted option years for reasons revolving around its ability to manage their auditors or the contract rules agreed upon at the start of the contract.

8.1 Auditor Evaluation

Auditors will be evaluated by the Management Analyst and Facility CEO at the conclusion of the on-site portion of the audit process.

Areas of evaluation will include, but are not limited to:

• Preparation

• Professionalism

• Transparency in the Evaluative Process

• Regard for Safety and Security

8.2 Contractor Overall Performance Evaluation

The Contractor will be evaluated at least annually by the COR on its adherence to the contract and effectiveness in providing the deliverable.

Areas of evaluation will include, but are not limited to:

• Contractor’s level of responsiveness to the FBOP as it pertains to contract issues, billing concerns, and the overall audit process.

• FBOP level of satisfaction with the audit report in terms of timeliness, level of explanation, quality assurance, etc. (excluding the auditor’s decisions as they relate specifically to an institutions level of compliance with the standards).

• Summative conclusion of Contractor Representative/Auditor Evaluations for the fiscal year.

9.0 PAYMENT SCHEDULES AND INVOICES

The Contractor shall provide an itemized invoice for services rendered after all deliverables have been received by the FBOP.

The COR will review all itemized invoices to ensure the final PREA report was received by the FBOP with no issues identified.

The FBOP, notwithstanding a lapse in appropriation of funds, agrees to pay Contractor within 30-days of receipt of the invoice, provided the final PREA Report, which indicates the Auditor’s decision regarding compliance on all PREA standards, has been received.

Fees for service will not be invoiced until the final, edited work product has been received by the

FBOP.

Late billing by the Contractor may lead to equally late payment disbursement by the FBOP.

Incorrect invoices, including issues related to the date the invoice was created, dates of service, institution where services were rendered, and/or amount owed will be promptly returned to the Contractor by the FBOP Business Office. The 30-day on-time payment clock will restart upon the FBOP receiving a corrected invoice.

10.0 TRAINING, CONFERENCES, AND WORKSHOPS

10.1 Availability of Training for FBOP Employees

The Contractor agrees to offer an annual training/refresher with FBOP assigned Management Analysts to discuss applicable changes to the audit process and/or PREA standards.

This training must be presented by either the Contractor itself or by a primary/senior auditor qualified to teach such content.

Such training will occur in the 60-days prior to the next fiscal year and should be scheduled upon the FBOP exercising the upcoming option year.

10.2 Conferences and Workshop Proposal Considerations

While not a requirement of the contract, if the Contractor holds an annual conference/publicized training or workshop, the FBOP and its employees will be exempt from any requirement of having to hold a membership, outside of what is stipulated in this contract, to attend or be considered as a presenter at such a conference/training.

In no way shall audit performance be contingent upon the FBOP attending such a conference/training or workshop.

11.0 NATURE OF THE CONTRACTED RELATIONSHIP

The proposed contract does not constitute an employer/employee relationship. This contract is for PREA Auditing Services performed at FBOP institutions and Central Office. The following provisions are stipulated:

• The services discussed herein are rendered and compensated in accordance with provisions outlined in a contractual agreement.

• Determination of award of this contract is the responsibility of the FBOP Contracting Office and not a personnel appointment.

• Payment disbursal is based on the provision the FBOP receives the contract deliverable and not based upon hours worked.

• It is mutually understood the awarding of the FBOP PREA contract does not entitle the Contractor or its auditors to compensation outside of the agreed upon auditing fees outlined in the contract, including the employee benefits normally afforded those individuals who complete the hiring process facilitated through the FBOP Human Resources Department.

• The Contractor’s performance is closely monitored through the Contractor Performance Assessment Reporting System (CPARS) and is not a collaborative effort between employee and supervisor.

Endnotes

1. Prison Rape Elimination Act (2003), 45 USC 15601 Note; 42 USC 15601-15609

2. Prison Rape Elimination Act – National Standards (2012), 28 CFR Part 115

3. Subpart A – Standards for Adult Prisons and Jails (2012), 28 CFR (§§115.11 – 115.93)

4. National PREA Resource Center (Nov. 2022), PREA Auditor Handbook (Version 2.1), www.prearesourcecenter.org/audit/prea-auditors/auditor-handbook

5. Subpart A – Standards for Adult Prisons and Jails (2012), 28 CFR (§§115.11 – 115.93)

6. National PREA Resource Center (Nov. 2022), PREA Auditor Handbook (Version 2.1), www.prearesourcecenter.org/audit/prea-auditors/auditor-handbook

7. Title 34 – Adoption and Effect of National Standards, U.S.C Code § 30307 (e)(8)(d) http://www.prearesourcecenter.org/audit/prea-auditors/auditor-handbook http://www.prearesourcecenter.org/audit/prea-auditors/auditor-handbook