U.S. Department of Justice

U.S. Department of Justice Federal Bureau of Prisons PROGRAM REVIEW DIVISION Washington. DC 20534 July 15, 2024 MEMORANDUM FOR ASSISTANT INSPECTOR GENERAL INVESTIGATIONS DIVISION FROM: External Auditing Branch SUBJECT: Status Update to the Office of Inspector General's (OIG) Final Report dated June 26, 2023: Investigation and Review of the Federal Bureau of Prisons' Custody, Care, and Supervision of Jeffrey Epstein at the Metropolitan Correctional Center in New York, New York The Federal Bureau of Prisons (FBOP) appreciates the opportunity to provide a response to the Office of the Inspector General's above referenced memorandum received on April 22, 2024. The FBOP has completed its review of the analysis and offers the following status update regarding the analysis and its recommendations. Recommendation One: The BOP should implement a process for assigning a cellmate following suicide watch or psychological observation, with criteria for exceptions based on the particular individual or security considerations. OIG Analysis: The BOP's update is responsive to the recommendation. In a previous update, the BOP reported that RSD and CPD were collaborating on a memo to provide guidance to the field on a process to ensure psychologists make recommendations regarding housing, including the presence of a cellmate, for individuals in custody following suicide watch or psychological observation. The BOP further reported that this process will include exemptions based on individual or security considerations. The BOP has now indicated that this guidance has been drafted and is under review. Accordingly, the OIG will consider whether to close this recommendation after the BOP (I) finalizes the guidance referenced in its update, and (2) provides the finalized guidance to the OIG for review. EFTA00141295 FBOP's Response: The FBOP Reentry Services Division (RSD) and Correctional Programs Division (CPD) have collaborated to draft guidance. This guidance is currently under review. FBOP will provide further updates as the draft guidance is reviewed and approved as needed. Recommendation Two: The BOP should establish procedures to ensure inmates at high risk for suicide and for whom a cellmate is recommended will continue to have a cellmate until the recommendation is changed or rescinded, including establishing a contingency plan for cellmate re-assignment, with criteria for exceptions based on the particular individual or security considerations. OIG Analysis: The GOP's update is responsive to the recommendation. In a previous update, the BOP reported that RSD and CPD were collaborating on a memo to provide guidance to the field on procedures to ensure communication regarding the requirement of a cellmate for individuals following suicide watch or psychological observation when recommended by a psychologist. The BOP further reported that this memo will include a procedure for exemptions based on individual or security considerations. The BOP has now indicated that guidance has been drafted and is under review. Accordingly, the OIG will consider whether to close this recommendation after the BOP (1) finalizes the guidance referenced in its update, and (2) provides the finalized guidance to the OIG for review. FBOP's Response: RSD and CPD have collaborated to draft guidance. This guidance is currently under review. FBOP will provide further updates as the draft guidance is reviewed and approved as needed. Recommendation Three: The BOP should evaluate its current process for obtaining and documenting approval for social or legal visits while an inmate is on suicide watch or psychological observation, which allows for institution-specific variations in the process, and provide guidance on standard components that each institution should include in its process to mitigate security issues that can arise when an inmate is on suicide watch or psychological observation. OIG Analysis: The GOP's update is responsive to the recommendation. In a previous update, the BOP reported that it was evaluating its process for obtaining and documenting approval for social and/or legal visits while an inmate is on suicide watch or psychological observation. The BOP has now reported that while it currently does not have guidance on these issues, new guidance has been drafted and is under review. Accordingly, the OIG will consider whether to close this recommendation after the BOP (1) finalizes the guidance referenced in its update, and (2) provides the finalized guidance to the OIG for review. FBOP's Response: RSD and CPD have collaborated to draft guidance. This guidance is currently under review. FBOP will provide further updates as the draft guidance is reviewed and approved as needed. Recommendation Four: The BOP should evaluate its methods of accounting for inmate whereabouts and wellbeing and make changes as may be appropriate to improve those methods through policy, training, or other measures. EFTA00141296 OIG Analysis: The GOP's update is responsive to the recommendation. Accordingly, the OIG will consider whether to close this recommendation after the BOP (1) finalizes the program statement update referenced in its update; and (2) provides the finalized program statement to the OIG for review. FBOP's Response: Program Statement 5500.14, Correctional Services Procedures Manual, is being modified to improve FBOP methods for accounting for inmate whereabouts and wellbeing. Because revisions to Programs Statements must follow the normal FBOP development and Union negotiation process, they are subject to change. Recommendation Five: BOP policy should clarify what is required of a Lieutenant when conducting a round. OIG Analysis: The GOP's update is responsive to the recommendation. Accordingly, the OIG will consider whether to close this recommendation after the BOP (1) finalizes the program statement update referenced in its update; (2) provides the finalized program statement to the OIG for review; and (3) provides a description of the training referenced in its update, sample training materials for OIG to review, and confirmation that the training is in effect. FBOP's Response: Program Statement 5500.14, Correctional Services Procedures Manual, is being modified to clarify what is required of a Lieutenant when conducting a round. Because revisions to Programs Statements must follow the normal FBOP development and Union negotiation process, they are subject to change. However, FBOP intends for the updated policy to include clarification for Lieutenants to conduct trainings sessions, via in-person required rounds and shift briefings daily. These trainings will cover topics such as cell searches, minor emergency mock discussions, and other correctional services training needs as assessed by local correctional services supervisors. This will allow for individual assessment and training to be tailored to the needs of each individual facility while also remaining in conformance with current training requirements. Training topics and formats will be documented on the Daily Lieutenant Logs and reviewed by the Captain to assess and implement specific local correctional training needs. Therefore, although no specific training curriculum will be developed, the training requirement and supervisory review will be in effect with the issuance of the updated program statement. Recommendation Six: The BOP should continue to develop and implement plans to address staffing shortages at its prisons. OIG Analysis: The BOP's update is responsive to the recommendation. The OIG will continue to monitor the GOP's progress regarding staffing shortages at its prisons. At the GOP's request, the OIG will not consolidate this recommendation. In addition, per the OIG's communications with the BOP over email, we believe that certain information that the BOP has provided or will provide to Congress and the Government Accountability Office (GAO) will facilitate the resolution and closure of this recommendation. Accordingly, we will consider whether to close this recommendation after the BOP (1) provides the OIG all contractor and BOP work product that has been submitted to the GAO in response to the GAO Staffing Audit recommendations, including the August 2022 assessment by the contractor on staffing incentives and the EFTA00141297 information BOP submitted to GAO in March 2023 related to the assessment; (2) provides the OIG an update on the contractor's or BOP's analysis of staffing incentives since March 2023, whether submitted yet to GAO or not; (3) provides the OIG any reports submitted to Congressional appropriation committees related to staffing; (4) implements the staffing tool for all BOP professions; and (5) provides an analysis of whether the new incentives mentioned in its update above have made an impact on the staffing shortage, and what additional proposals, including any legislative proposals to address pay rates in certain localities, are being considered by the BOP to fully address the staffing shortage. FBOP's Response: FBOP appreciates OIG's determination to not consolidate the analysis of this recommendation with that of Recommendation 5 from the OIG's Limited-Scope Review of the Federal Bureau of Prisons' Strategies to Identify, Communicate, and Remedy Operational Issues, Report Number 23-065 (Limited-Scope Review), at FBOP's request. OIG indicates that it will consider whether to close this recommendation after FBOP does the following: (1) OIG requests all contractor and FBOP work product that has been submitted to the GAO in response to the GAO Staffing Audit recommendations, including the August 2022 assessment by the contractor on staffing incentives and the information FBOP submitted to GAO in March 2023 related to the assessment. FBOP now provides the requested information. Please see the following attachments: "Attachment 1 Staffing_GAO 21-123," "Attachment 2 Staffing_GAO 21-123," "BOP Staffing Current State Assessment FINAL," "FINAL Incentives Playbook_All Resources_June 13," "Fully executed contract 2_Redacted," "Interviews and Survey Results," "NTT DATA Response to BOP Staffing Risk Management 04062021 Final," "SOW-BOP Staffing Risk Management_l," and "STATEMENT OF WORK." (2) OIG requests that FBOP provide an update on the contractor's or FBOP's analysis of staffing incentives since March 2023, whether submitted yet to GAO or not; The FBOP is currently analyzing the agency's usage and effectiveness of both recruitment and retention incentives. This analysis is ongoing. Therefore, FBOP will provide its analysis to OIG when completed. (3) OIG requests any reports submitted to Congressional appropriation committees related to staffing. See the following attachments: "FY23 BOP Vacancies at Facilities CRPT Package," "FY 2023 BOP CRPT Vacancies at BOP Facilities — Attachment," and "FY 2023 CRPT BOP FSA Implementation Q2 Hill Letters Package - WF220990." (4) OIG requests that FBOP implements the staffing tool for all BOP professions. Currently, the Automated Staffing Tool is a workforce planning tool that remains in development and testing. Position recommendations for the following departments have been completed and remain in ongoing testing and feedback stages: Correctional Services, Correctional Systems, Chaplaincy Services, Education, Food Service, Health Services, ITDD, Recreation, Safety, and Unit Management. EFTA00141298 All other disciplines are tentatively scheduled to be completed by October 2024. It is anticipated that the workforce planning tool will be fully utilized beginning in October 2024. (5) OIG requests FBOP to provide an analysis of whether the new incentives mentioned in its previous status update have made an impact on the staffing shortage, and what additional proposals, including any legislative proposals to address pay rates in certain localities, are being considered by the BOP to fully address the staffing shortage. Additional time will be required to determine the effect of those incentives implemented during the current fiscal year. However, it should be noted the FBOP was approved for nation-wide direct-hire authority by the Office of Personnel Management (OPM) on May 13, 2024. This will assist the FBOP in filling vacancies in the future. FBOP is working with the Department of Justice on a nationwide special salary rate request for our institution positions. Recommendation Seven: The BOP should evaluate its cell search procedures and make changes as may be appropriate to improve those procedures through policy, training, or other measures. OIG Analysis: The BOP's update is partially responsive to the recommendation. The update for Recommendation 5 is related to Lieutenant Rounds and not cell searches. The update does not indicate that the BOP has or will evaluate its cell search procedures and make any necessary changes to improve those procedures through policy, training, or other measures. The update only addresses the logging of cell searches within TRUSCOPE rather than evaluating its cell search procedures. The OIG will consider whether to close this recommendation after the BOP (1) completes the evaluation of using TRUSCOPE to log cell searches; (2) otherwise evaluates its cell search procedures and makes any appropriate changes to improve those procedures; and (3) provides a description of the training referenced in its response, sample training materials for OIG to review, and confirmation that the training is in effect. FBOP's Response: FBOP's Correctional Programs Division has evaluated current policy and training as related to cell searches. FBOP has concluded that cell search requirements, including appropriate documentation requirements via TRUSCOPE, are clearly outlined in two separate current policies: Program Statement 5500.15, Correctional Services Manual, and Program Statement 5521.06, issued January 2, 2018; and the Searches of Housing Units, Inmates, and Inmate Work Areas, issued on June 4, 2015. In addition to the general requirements for conducting cell searches contained in the above program statements, an institutional supplement is required for Security Inspections at each institution detailing specific local procedures. Locally, specific post orders are developed which include search requirements and documentation requirements. Current policy and training are adequate to convey the specific requirements for conducting cell searches. Further review indicates that specific training exists for conducting cell searches and is included in the below training curriculums. Initially, all staff receive specific training on cell searches during Introduction to Correctional Techniques, Phase I. Additionally, in January 2020, Back to Basics training was implemented as mandatory training for all institution employees. Back to Basics is an annual in-person training which includes a set curriculum with practical exercises. The sections listed below specifically include cell searches and practical exercises. EFTA00141299 • (Initial) Introduction to Correctional Techniques (ICT) Phase I, Tab 22: Conducting Searches. See attachment "ICTPhasel-Tab 22-IG." • (Annual) Back 2 Basics Managing Housing Units Part I - Conduct searches of the housing unit to include cell searches. See attachment "7-B2B-Managing Housing Units Part I-Lesson Plan-FY2024." • (Annual) Back 2 Basics Managing Housing Units Part 2 - Conduct searches of the housing unit to include cell searches (Practical Exercise). See attachment "8-B2B- Managing Housing Units Part II-Lesson Plan-FY2024." Therefore, because FBOP has demonstrated completion of its evaluation of using TRUSCOPE to log cell searches and its evaluation of cell search procedures, and has provided a description of training referenced, including confirmation that the training is currently in effect, FBOP now respectfully requests closure of this recommendation. Recommendation Eight: The BOP should enhance existing policies regarding institutional security camera systems to ensure they specifically state that such systems must have the capacity to record video and that BOP institutions must conduct regular security camera system functionality checks. OIG Analysis: The BOP's update is responsive to the recommendation. Accordingly, the OIG will consider whether to close this recommendation after the BOP (1) finalizes the policy updates referenced in its update; and (2) provides the finalized policies to the O1O for review. FBOP's Response: FBOP is currently in the process of making modifications to Program Statement 4200.12, Facilities Operations Manual; and Program Statement 5500.15, Correctional Services Manual, to include protocols and ensure accountability regarding various aspects of the FBOP's camera systems including but not necessarily limited to functionality, documentation, and repair. Because revisions to Programs Statements must follow the normal FBOP development and Union negotiation process, they are subject to change. FBOP will provide further updates pertaining to these revisions as they become available. To ensure immediate action, a joint memorandum (from FBOP's Administration Division and Correctional Programs Division) was sent to all CEOs addressing the Security Camera Monthly Report. The new report is now in use and became effective June 1, 2024. See attachments "Camera Report Implementation signed" and "Security Camera Report Template." EFTA00141300 FY2024 BACK 2 BASICS Instructor Guide LESSON: MANAGING HOUSING UNITS, PART I LENGTH: 1 Hour 30 Minutes (Recommended) INSTRUCTOR-TO-PARTICIPANT RATIO: 1:10 OBJECTIVES: Given the specific and general post orders of a housing unit, participants will be able to: • Discuss the objectives and expectations of post orders • Perform duties of a correctional post • Account for inmate work detail • Account for inmates on a pass system (if applicable) • Locate an absentee inmate • Conduct rounds in the housing unit • Conduct a fire and security check in the housing unit • Conduct searches of the housing unit to include cell searches • Identify procedures for confiscating and disposing of contraband • Conduct a bed book audit METHOD OF ASSESSMENT: • Knowledge Checks • Group Discussion PREREQUISITES: Back 2 Basics, Overview and Expectations INSTRUCTOR MATERIALS: • Lesson Plan • Copy of General and Specific Post Orders for local housing unit(s) • A Day in the Life of TRUSCOPE, PDF • Daily Security Check/Inspection Form, local • Inmate Accountability, Supplement • Security Inspections, Supplement • Inmate Personal Property, Institutional Supplement • Commissary List, local • List of authorized items for inmate personal property • Census Check Report, local example • Change Sheet, local example • Detail Roster, local example • Outcount, local example • Sample photocopies showing front and reverse of Inmate Picture Card • Sample photocopies of Bed Book pages Back 2 Basics 1 Managing Housing Units, Part I EFTA00141301 FY2024 BACK 2 BASICS Instructor Guide • Search log • Toolbox/Carrier with screwdrivers (Phillips and flathead) • Mirror • Flashlight • Keys to area(s) being searched • Probing devices • Metal detector • All other additional tools used to conduct area and cell searches STUDENT MATERIALS: Participant Manual, one (1) per participant, to include: • One (1) copy for each shift of Specific Post Orders, Housing Unit — local institution • One (1) copy for each shift of Special Post Orders, Housing Unit — local institution • List of authorized items for inmate personal property • Commissary list, local • Daily Fire and Security Inspection Form, local • Pencil(s) Group Resource Manual, one (1) per group, to include: • Inmate Accountability, Institution Supplement • Inmate Personal Property, Institution Supplement • Title and Location of Post Orders Form • Post Order Review Sheet • A Day in the Life of TRUSCOPE, PDF • All Program Statements located in the housing unit post orders, local • All Institution Supplements located in the housing unit post orders, local • Any other documentation to include local procedures that may be used to support the lesson Activities, one (1) copy for each group, to include: • Activity #1— Locating an Absentee Inmate • Activity #2 — Conducting Rounds in the Housing Unit • Activity #3 — Conducting Fire and Security Checks • Activity #4 — Conducting Searches of the Housing Unit and Inmate Cells REFERENCES: • P.S. 3420.11, Standards of Employee Conduct • P.S. 5270.09, CN-1 Inmate Discipline Program • P.S. 5270.11, Special Housing Units • P.S. 5500.14, CN-1, Correctional Services Procedures Manual • P.S. 5500.15, Correctional Services Manual • P.S. 5521.06, Searches of Housing Units, Inmates, and Inmate Work Areas Back 2 Basics 2 Managing Housing Units, Part I EFTA00141302 FY2024 BACK 2 BASICS Instructor Guide • P.S. 5566.06, CN-1, Use of Force and Application of Restraints • P.S. 5580.08, Inmate Personal Property • P.S. 5580.09, Inmate Property Claims • Introduction to Correctional Techniques (ICT) Phase I, Tab 17: Counts, Checks, and Accountability Resources • Introduction to Correctional Techniques (ICT) Phase I, Tab 22: Conducting Searches • SENTRY General Use Technical Reference Manual • Inmate Accountability, Institution Supplement, various institutions • Inmate Personal Property, Institutional Supplement, various institutions APPENDIX: No POWERPOINT: No RECOMMENDED INSTRUCTORS: Housing Unit Officer and Captain or Lieutenant. SPECIAL NOTES: It is critical to review the lesson plan thoroughly prior to delivery. Be prepared with all local information and documentation to present at times indicated throughout the lesson. Back 2 Basics 3 Managing Housing Units, Part I EFTA00141303 FY2024 BACK 2 BASICS Instructor Guide LOGISITCS: This course, Managing Housing Units, is divided into two (2) parts, Part I and Part II. Participants must complete both parts to receive training credit. Part I of this lesson should be conducted at a common area for employees only. The area should be a confined area for open discussion about sensitive issues and topics. Examples of areas to conduct Part I include a training center, a classroom, or a visiting room. Part II of this lesson should be conducted inside a housing unit. The purpose of Part II of the lesson will be to conduct or assist with at least one (1) or all of the following practical exercises as indicated by the Warden: • Area search • Cell search • Irregular Round • Bed Book Audit • Fire and Security Check PRIOR TO INSTRUCTION: 1. Read all components of the curriculum (i.e., lesson plan and activities.) 2. Refer to the Warden or other delegated official for the specific location of Part I and Part II of the lesson. Consider the approximate time it will take to move from the location of Part I to the location of Part II (if applicable). Plan accordingly. 3. Print all documents to represent your local facility for the Participant Manual. 4. Print all documents to represent your local facility for the Group Resource Manual. 5. Prepare for instruction. This includes addressing the following: • Number of Participants: Determine how many participants will be in attendance. • Participant Manual: Using the number of participants in the class, copy the number of student packets you will need (one per participant) to conduct the training. Note: Since participants will not be writing on these manuals, you may use them again for other scheduled classes of Managing Housing Units. • Group Resource Manual: Determine how many groups of five (5) participants will be in the class. Make copies, one (1) for each group, to conduct the training. Note: Since participants will not be writing on these manuals, you may use them again for other scheduled classes of Managing Housing Units. • Activities: Copy the number of activities needed; that is, one (1) activity for each group. Participants will write on these activity sheets, therefore, you will need to make additional copies for other scheduled classes of Managing Housing Units. 6. Take all printed materials to the training site identified for Part I of this course. Back 2 Basics 4 Managing Housing Units, Part I EFTA00141304 FY2024 BACK 2 BASICS Instructor Guide SPECIAL NOTE: Accountability of Materials: All materials should be collected, accounted for, and removed from the location when training and/or practical exercises are conducted in the presence of inmates. Absolutely NO materials should be in circulation for Part II of this lesson. AT THE TRAINING SITE: 1. Identify locations for small groups (and group discussion). Place a Group Resource Manual in each group location. 2. Identify the seating of the groups. Place a Participant Manual at each seat. 3. Once all participants have arrived, divide the participants into groups of five (5). It is highly recommended that each small group be a mixture of at least one (1) employee in correctional services (any grade) plus a combination of other disciplines. 4. Allow groups to form and settle in their seats before you begin instruction. Back 2 Basics S Managing Housing Units, Part I EFTA00141305 P12024 BACK 2 BASICS Instructor Guide I. INTRODUCTION For this module of Back 2 Basics, we will be reviewing policy and procedures for effectively performing duties when managing a housing unit. Note: Refer to the Participant and Group packets. Note: Describe the logistics of the training. This should include start time, stop time, breaks, location change (if applicable), etc. Note: Ask if there are any questions before continuing. Address all questions. II. POST ORDERS A. General Post Orders Note: Instruct participants to look at their individual packets for specific post orders. Post Orders describe all procedures and any special instructions regarding a specific post. Per Program Statement, Correctional Services Procedures Manual, post orders must be based on Bureau and institution policies, must state each post's duty hours, and must be prepared under the Captain's supervision and direction. Note: Discuss procedures for reviewing and signing post orders in the Lieutenant's office. Discussion: What is the procedure if there is no opportunity to review post orders? In these cases, it is the responsibility of the employee to inform the employer of the fact they have not been able or afforded the opportunity to read such orders. The employer will then advise the employee of the general requirements of the post and answer any questions. Employees assuming posts under these circumstances still have the responsibility of exercising sound correctional judgment based upon their training and experience and will make reasonable efforts to read the post orders as soon as practicable. Note: Refer to the Group Resource Manual. Ask them to take a look at the Title and Location of Post Orders and Post Order Review Sheet noting the areas where signatures are needed. Ask if there are any questions before continuing. Each post order will contain instructions regarding the immediate action an employee should take in an emergency situation. These "first responder" instructions should contain specific action steps including, but not limited to, containment, employee protective considerations, and emergency reporting protocols. Particular requirements regarding assaultive inmates, suicides, fires, evacuation routes, and other "immediate" response emergency situations are addressed and are consistent with the corresponding Emergency Plan. Back 2 Basics 6 Managing Housing Units, Part I EFTA00141306 Pi'2024 BACK 2 BASICS Instructor Guide B. Specific Post Orders Note: Refer to the Group Resource Manual as needed for the next section. All post orders contain five (5) separate sections in the following order: Section 1: Activities listed chronologically with responsibilities clearly defined. Section 2: Special instructions relating to the specific post. Section 3: General Post Orders - applicable to all posts. Section 4: List of Program Statements and Institution Supplements relevant to the post. Section 5: Employee Signature sheet. Post orders and log books are confidential documents and should never be left unattended or in an area accessible to inmates. They must be secured at all times when not in use by employees. Knowledge Check: Where are the Post Orders located in housing units at this institution? Knowledge Check: Where should you log pertinent information regarding inmates? Note: Ask if there are any questions regarding Post Orders. Upon completion of discussion, continue with instruction. III. ASSUMING DUTIES OF A CORRECTIONAL POST Discussion: What are some of the first things you must do upon arriving? A. Begin Logging Documentation According to the Correctional Services Procedures Manual and our identified post orders, you must begin logging documentation in TRUSCOPE. Items that must be logged upon assuming the post include: • Date • Shift • Base count of the unit (number of inmates) • Your name (printed legibly) • Key ring number • Number of keys • Equipment • Details about the fire alarm panel (indicating if it is operational) Back 2 Basics 7 Managing Housing Units, Part I EFTA00141307 FY2024 BACK 2 BASICS Instructor Guide Knowledge Check: What should you do if the fire alarm panel is not operational? B. Contact Control In addition to logging in the details of equipment, you should contact Control and, with their approval, • conduct a test of your radio/body alarm, and, • verify the unit count. C. Dial in with the Operations Lieutenant Once the base documentation is logged, you may contact the Operations Lieutenant or dial in for a briefing. It is at this time you should address any questions or concerns you may have about the shift. Note: Discuss local procedures for contacting Operations Lieutenant upon assuming duties. IV. ACCOUNTABILITY OF INMATES ON DETAIL Accounting for inmate work detail is a crucial part of inmate accountability as all departments and locations throughout the institution are responsible. If an inmate on your work detail is missing, the inmate is considered 'absent' and you should follow all procedures for locating the absentee inmate. Each detail supervisor should carry the updated and current electronic printout with them throughout the day. Note: Refer to your institution's procedures for printing and collecting Detail/Crew Kit Cards. A. Detail/Crew Kit Cards The Detail Crew Kit on BOPWARE will automatically be updated to reflect new admissions and any job or quarter's changes via SENTRY. Each crew kit has current detail cards on all inmates assigned to the detail. The printouts are never to be left unattended or in an area accessible to inmates. At a minimum, crew kit cards provide: • Names of the inmates; • Register number; • Current photo (a new photo must be made whenever an inmate's appearance changes); • Job assignment; • Quarters assignment; • Custody level; and • Any special conditions. Back 2 Basics 8 Managing Housing Units, Part I EFTA00141308 FY2024 BACK 2 BASICS Instructor Guide Inmates will never be allowed to handle detail/crew kits and/or the cards assigned to the kits. Note: Discuss how to identify an inmate that is on the posted picture file. The inmate is identified with an asterisk. Note: Discuss local procedures for reporting discrepancies in detail/crew kit cards. Note: Discuss the shift/responsibility for collecting the detail/crew kits for your local institution. Note: Discuss the specific location where the detail/crew kits can be found in the housing units (e.g., top drawer in desk of officer's station, etc.). B. Detail Accountability Checks Detail accountability checks are conducted to identify inmates in unauthorized areas, and to determine the presence and accuracy of detail cards (crew kit cards). AM/PM census checks will be documented on Daily Fire and Security Inspection Reports. You must conduct an AM/PM census of all inmates assigned to your area during each work period. Any discrepancies found during the census will be recorded on the inspection report and must be reported to the Operations Lieutenant immediately. C. Excusing Inmates from Detail Knowledge Check: Who can authorize excusing an inmate from work? The Associate Warden overseeing the department maintains the sole authority to "lay in" a Work Detail. Detail Supervisors are not authorized to release inmates from their assigned details prior to the end of normal working hours. As an additional note, Detail Supervisors will not make sick call appointments for inmates. V. LOCATING AN ABSENTEE INMATE If you are responsible for managing the housing unit, it is your responsibility to locate the inmate on your work detail. With that in mind, make proper notifications and take appropriate action against the inmate right away. Knowledge Check: What are the steps to take if inmates are missing or absent from their work? Note: Allow input from employees before continuing. Back 2 Basics 9 Managing Housing Units, Part I EFTA00141309 FY2024 BACK 2 BASICS Instructor Guide Per Program Statement 5500.14, inmates who are missing or absent from their work details should be located in the following manner: 1. Take immediate action to locate the inmate if the inmate does not report to work as scheduled within ten (10) minutes or fails to return from an appointment. 2. Exhaust all avenues of locating the inmate by calling appointments, the inmate's assigned housing unit, visiting room (if applicable), and Health Services. If the absent inmate cannot be located after ten (10) minutes, notify the Lieutenants Office. At this point, the Lieutenants Office will assume responsibility for locating the inmate. 3. The Lieutenant will ensure proper notifications are made and proper action is taken when the inmate is found. Note: Discuss the following in as much detail as needed for your location. A. Daily Change/Transfer Sheet The Daily Change/Transfer Sheet is a SENTRY generated list which denotes changes in an inmate's status. This sheet must be published each regular work day. It includes changes in the following: • Housing unit; • Job assignment; • Medical idle; and/or, • Convalescence which exceeds one (1) day. Note: Identify where and how employees can locate the Daily Change/Transfer Sheet in your local housing units. B. Inmate Callouts The Call-Out sheet lists appointments inmates have with employees and is produced by SENTRY. As you know, it lists the reporting time and physical area where inmates are scheduled to report. The Call-Out sheet is made available to employees and posted in the inmate housing units. The employee who places the inmate on call-out must ensure the requested inmate arrives at the specified time. Discussion: Who is responsible for ensuring the inmate arrives to the callout at the specific time? Note: Identify where and how employees can locate the Inmate Callouts in your local housing units. Back 2 Basics 10 Managing Housing Units, Part I EFTA00141310 FY2024 BACK 2 BASICS Instructor Guide C. Sick Call Discussion: What are times and days for Sick Call? For Sick Call, inmates will report to the Health Services Department. When an inmate, for medical reasons, is excused from work, Health Services employees will issue two (2) copies of the Medical Idle Authorization to the inmate. The inmate will retain one copy of the idle and deliver the second copy to the Housing Unit Officer. Knowledge Check: Who is responsible for notifying the work supervisor of the inmate's idle status? The Unit Officer will notify the work supervisor of the inmate's idle status. Once an appointment is made, the inmate will return to their unit until the assigned appointment. Inmates will return to Health Services during the assigned movement and remain there until released by the Health Services employees. D. SENTRY Discussion: What are the SENRY functions that may be used for locating an inmate? Some of the most notable options include PP42/PP44, Current Assignments and PP37, History. Note: Discuss any additional SENTRY options, as needed or mentioned by employees. VI. ACTIVITY #1— LOCATING AN ABSENTEE INMATE Note: Distribute the worksheet for Activity #1 — Locating an Absentee Inmate, one (1) per group. Facilitate the activity using the instructor notes provided. Upon completion, continue instruction. VII. CONDUCTING ROUNDS A. Irregular Rounds Every employee is responsible for the custody, control, supervision, and accountability of all inmates in their area of responsibility and supervision. Housing unit posts should make irregular rounds of the units they are assigned. Although there are no scheduled rounds when moves are open, it is imperative to make rounds for the security and orderly operation of the institution once moves are closed and the unit is locked. Upon completion of each round, notification of completion and any additional notes should be logged Back 2 Basics 11 Managing Housing Units, Part I EFTA00141311 FY2024 BACK 2 BASICS Instructor Guide into TRUSCOPE. Note: Discuss any additional local procedures for conducting rounds. B. Rounds During Lock Down Status in the Housing Unit Per policy, when inmates are in lock down status, rounds must be conducted at least once in the first 30 minute period of the hour (example, 12:00 a.m. — 12:30 a.m.) followed by another round in the second 30 minute period of the same hour (example, 12:30 a.m. — 1:00 a.m.). This ensures that an inmate is observed at least twice per hour. These rounds are to be conducted on an irregular schedule and no more than forty (40) minutes apart. Note: Clearly define lock down status as applicable to housing units during normal operations. VIII. ACTIVITY #2 — CONDUCTING ROUNDS IN THE HOUSING UNIT Note: Distribute the worksheet for Activity #2 — Conducting Rounds in the Housing Unit, one per group. Facilitate the activity using the instructor notes provided. Upon completion, continue instruction. IX. CONDUCTING FIRE AND SECURITY CHECKS Each detail supervisor or departmental employee will conduct a daily security and fire inspection of their assigned area. The result of these inspections will be submitted on your local Daily or Weekly Security and Fire Inspection Report. Employees will use TRUSCOPE to log in the time conducted and findings, if applicable. The areas listed on the Daily Security and Fire Inspection Report should be completed at the conclusion of each manned shift. Knowledge Check: When should the Daily Fire and Security Checks be conducted? Note: Provide any feedback and/or procedures for your local facility. A. Fire and Security Inspection Report, Daily While managing a housing unit, you will be expected to perform the fire and security inspection in accordance with outlined procedures. Upon completion of the inspection, you will document your findings in TRUSCOPE noting any discrepancies found, along with the action taken to address the problem. If the discrepancy is considered significant or major, you will contact the Lieutenant's office immediately. Note: Refer to the Participant Manual for the Daily Fire and Security Inspection Report. Back 2 Basics 12 Managing Housing Units, Part I EFTA00141312 FY2024 BACK 2 BASICS Instructor Guide Discuss how to document findings once the inspection is completed. B. Security Work Orders/Requests If you find a safety or sanitation issue which requires corrective action, you should note the problem on the form and submit a written work request to get the problem fixed. Note: Identify the location of the work order form and the local procedures for submission. C. Memoranda A memorandum is used to document safety issues encountered during your checks. Discussion: Who should receive a copy of this memorandum? X. ACTIVITY #3 — CONDUCTING FIRE AND SECURITY CHECKS Note: Distribute the worksheet for Activity #3 — Conducting Rounds in the Housing Unit, one (1) per group. Facilitate the activity using the instructor notes provided. Upon completion, continue instruction. XI. CONDUCTING SEARCHES OF THE HOUSING UNIT A. Searches of the Housing Unit The inspection of a housing unit is primarily designed to detect contraband, prevent escapes, maintain sanitation standards, and to eliminate fire and safety hazards. Frequent and irregular searches should be conducted of all inmate living areas to include: • Cells • Cubicles • Storage rooms • Supply rooms • Common areas • Plumbing accesses • Walls • Plumbing fixtures • Showers, to include drains • Additional locations not mentioned above The employee assigned to the area will be responsible for noting the date, time, results, and name of searching employee according to local procedures. Searches of the inmate living areas will be conducted frequently and properly documented in TRUSCOPE. Back 2 Basics 13 Managing Housing Units, Part I EFTA00141313 FY2024 BACK 2 BASICS Instructor Guide Note: Identify how searches of the housing unit should be documented at your local facility. Approaches to conduct searches in all areas of the housing unit include: 1. Visual A visual inspection must be conducted inside the unit for items such as bent or spread bars, broken welds, cracked or cut bars, and any sign of steel filings. Any other evidence of tampering or weakness such as fresh paint or discolored areas is to be thoroughly investigated. 2. Bar Tapping Accurate bar taps call for the use of a mallet to tap security bars and frames to set up vibrations which, by their deviation from normal sound, would indicate tampering or weakness. All housing unit bars within the institution will be tapped weekly, and this information should be recorded accordingly. Note: Discuss procedures for recording bar taps at your local institution. 3. Metal Instrument A thin instrument such a putty knife can be passed along frames or bars to locate cuts or depressions which might indicate tampering. The instrument can also be used as a probe to uncover cuts filled with soap, putty, or other substances. Knowledge Check: How often are bar taps completed? Note: Explain the location and/or procedures for obtaining tools used for conducting searches. 4. Mirror A mirror is an effective instrument for examining areas that would ordinarily be difficult to inspect. A mirror may be used to inspect any area that ordinarily would be difficult to observe during a routine visual inspection. Knowledge Check: What areas in the housing units are best searched using a mirror? B. Searches of Inmate Cells Employees may search an inmate's housing area and any personal items contained within an area, without prior notice, inmate approval, or inmate's presence. An inmate will be removed from the cell and searched prior to the cell search. When conducting the cell search, all items Back 2 Basics 14 Managing Housing Units, Part I EFTA00141314 P12024 BACK 2 BASICS Instructor Guide in the cell should be carefully searched and, as nearly as possible, returned to their original order upon completion. When conducting a cell search, particular attention must be paid to the following: • Plumbing facilities • Ventilation ducts • Beds • Bedding • Chairs • Commissary items • Books • Additional items/locations not mentioned above False shoe bottoms, secret compartments and hollow legs are possibilities for concealing contraband. Discussion: What are some other common areas for concealing contraband that have not been mentioned? The employee searching the cell will be responsible for noting the date, time, inmate's name, inmate's register number, cell/room number, results, and name of searching employee in TRUSCOPE. Identify how cell searches should be documented at your local facility. C. Contraband Here are only a few items of contraband and locations it may be commonly found in the housing units: • Cell phones hidden in doors • Cell phones hidden inside of soda cans • Cell phones hidden in soap • Cigarettes hidden in all areas of inmate cells • Tattoo Kits hidden in soda cans • Contraband safes made out of Ramen Noodles • Handcuff Keys made from inhalers • Homemade intoxicants in all areas of the housing units • Homemade tobacco pipes • Officer safety items hidden as contraband • Secret contraband storage spaces • Shanks created from printer cartridges Back 2 Basics 15 Managing Housing Units, Part I EFTA00141315 FY2024 BACK 2 BASICS Instructor Guide • Tobacco and other items hidden in Bibles Note: Discuss additional contraband items and locations. When conducting searches of inmates, housing units, and cells, it is important to be familiar with items inmates may and may not have. When in doubt, you can refer to the local Commissary List and/or the Inmate Personal Property List. You may also ask the inmate to provide a receipt of purchased items. Note: Inform participants to refer to the local Commissary Sheet and/or Inmate Personal Property List in the Participant Manual as needed. Knowledge Check: What would you do if you found an item you suspected was contraband but wasn't completely sure? 1. Areas Approved for Inmate Property Storage Inmates in the general population housing units will be issued specific locations for the storage of personal property, for example, lockers. Items authorized outside of the areas may include items such as: • One (1) mesh laundry bag • Footwear • Issued clothing Property storage may not be in offices of the unit team or the correctional supervisor except in temporary, emergency situations. Note: Discuss specific locations in your location for property storage. Discuss any special instructions (e.g., shoes should be stored under the bunks). 2. Confiscation and Disposal of Contraband Confiscated contraband will be disposed of in accordance with institution procedures. Exceptions from these procedures can only be made upon written authorization of the Warden or his designee. Note: Discuss local procedures for recovering contraband. Include procedures for • excess property • hard contraband • cash or negotiable instruments • postage stamps Back 2 Basics 16 Managing Housing Units, Part I EFTA00141316 FY2024 BACK 2 BASICS Instructor Guide Note: Discuss local procedures for identifying and logging contraband recovered during searches. XII. ACTIVITY #4 — CONDUCTING SEARCHES OF THE HOUSING UNITS AND INMATE CELLS Note: Distribute the worksheet for Activity #4 — Conducting Searches of the Housing Units and Inmate Cells, one (1) per group. Facilitate the activity using the instructor notes provided. Upon completion, continue instruction. XIII. CONDUCTING BED BOOK AUDITS Knowledge Check: When should employees conduct a bed book audit? Note: Allow participants to provide feedback. Provide feedback for your local facility. A minimum of one (1) bed book audit will be conducted every 24-hour period to ensure the accuracy of inmate assignments. Note: Provide information on where/how the Bed Book is retrieved/located at your local facility. The Bed Book contains the following information for each inmate: • Inmate's name • Register number • Cell location • Job assignment • Custody level • Any additional information (e.g., medical information) Bed Book Cards are strictly confidential and should never be viewed by inmates. A. Procedures for Conducting a Bed Book Count At least two (2) employees will conduct bed book audits. Inmates must be positively identified using printed pictures, by asking the inmates to state both their name and register number. Both employees must agree the inmate matches the picture, name, and register number on the bed book card. Inmates must also be in their assigned cell as documented in the bed book and unit SENTRY roster. The first employee will carry the SENTRY roster while the second employee will carry the Bed Book picture roster. Upon completing count, both officers verify all inmates are present, compare the numbers with each of the counting employee, and identify any inmates not Back 2 Basics 17 Managing Housing Units, Part I EFTA00141317 FY2024 BACK 2 BASICS Instructor Guide present in the housing unit. Note: Discuss local procedures for conducting a Bed Book Count. Employees will then call Control Center and verify this information. B. Updating an Inmate's Picture Card Discussion: What issues warrant the update of a picture card? When conducting a Bed Book count, you may discover that an inmate has changed their physical appearance. If this is the case, the following standard operating procedures should occur: 1. Find correct inmate Picture Card on file. 2. Write and submit a memorandum to the Unit Team requesting a new picture be taken and explain why. 3. Use reverse side of Picture Card to note changes in the inmate's physical appearance. 4. Return Picture Card file to proper secure location. Knowledge Check: Who can request the update of a picture card? Any employee can submit the request for an inmate's picture card to be updated. The same procedures mentioned above will apply to any employee submitting the request. 1. Locate inmate's Picture Card. 2. Record information from inmate's Picture Card into assigned bed/cell slot in unit Bed Book. 3. File inmate's Picture Card with your unit cards. XIV. SUMMARY In summary, managing a housing unit has many complex duties and responsibilities. The Back to Basics training program has been designed to revisit those fundamental tasks that depend on the overall safety and security of the institution as a whole. Back 2 Basics 18 Managing Housing Units, Part I EFTA00141318 FY2024 BACK 2 BASICS Instructor Guide ACTIVITIES Part I Managing Housing Units Back 2 Basics 19 Managing Housing Units, Part I EFTA00141319 FY2024 Instructor Guide Group Discussions: Challenges and Solutions Time Frame: 15 minutes each (Recommended) Objectives: Given a topic of discussion, participants will be able to: • Discuss challenges and possible solutions for the given topic for managing housing units. Instructor Materials: • Pencils • Copies of worksheets, one (1) per group, to include: o Activity #1— Locating an Absentee Inmate o Activity #2 — Conducting Rounds in the Housing Units o Activity #3 — Conducting Fire and Security Checks o Activity #4 — Conducting Searches of the Housing Units and Inmate Cells Instructor Notes: 1. Divide the participants into groups of five (5) participants per group. 2. Pass out the Group Discussion worksheet for the identified activity. 3. Announce the topic to the groups. Instruct all participants to take ten (10) minutes discussing the challenges they face with the given topic and write up to four (4) of them down on the worksheet provided. Once they have identified the challenges, groups can discuss the possible solutions, noting any talking points in the space provided under the solutions heading. 4. Upon completion of the discussion, groups should appoint a lead speaker who will share findings with the class. 5. After the ten (10) minutes of discussion time is complete, allow groups to share their answers with the class. Debrief: Take time shortly after conducting this activity to reflect on how it went, how engaged the participants were, and what questions were raised, if any. Make any notes that may need further discussion regarding your institution. Back 2 Basics 20 Managing Housing Units, Part 1 EFTA00141320 FY202.1 Instructor Guide 1 2 3 4 Back 2 Activity #1 — Locating an Absentee Inmate Group Discussion Directions: Discuss challenges and solutions regarding locating an absentee inmate using Daily Change/Transfer Sheet, Inmate Callouts, Detail Crew Kits, Sick Call, and SENTRY. Write the discussion points for each challenge and the group's solution in the space provided. Be prepared to discuss with the class. You may use past experiences as examples. CHALLENGE SOLUTION To include past experiences, interferences, or To include ideas and past experiences recurring issues (if applicable) 21 Managing Housing Units, Pan 1 EFTA00141321 I Y2024 Instructor Guide 1 2 3 4 Back 2 a Activity #2 — Conducting Rounds in the Housing Unit Group Discussion Directions: Discuss challenges and solutions regarding conducting rounds on any given shift. Write the discussion points for each challenge and the group's solution in the space provided. Be prepared to discuss with the class. You may use past experiences as examples. CHALLENGE SOLUTION To include past experiences, interferences, or To include ideas and past experiences recurring issues (if applicable) 22 Managing Housing Units, Pan 1 EFTA00141322 FY2024 Instructor Guide Activity #3 — Conducting Fire and Security Checks Group Discussion Directions: Discuss challenges and solutions regarding conducting daily fire and security checks at your local facility. Write the discussion points for each challenge and the group's solution in the space provided. Be prepared to discuss with the class. Refer to the Daily Fire and Security Inspection Report in your Participant Manual as needed. You may use past experiences as examples. CHALLENGE SOLUTION To include past experiences, interferences, or To include ideas and past experiences recurring issues (if applicable) 1 2 3 4 imok p S Back 2 Basics 23 Managing Housing Units, Part 1 EFTA00141323 FY202.1 Instructor Guide Activity #4 — Conducting Searches of the Housing Unit and Inmate Cells Group Discussion Directions: Discuss challenges and solutions regarding official counts and census and accountability checks. Write the discussion points for each challenge and the group's solution in the space provided. Be prepared to discuss with the class. You may use past experiences as examples. CHALLENGE SOLUTION To include past experiences, interferences, or To include ideas and past experiences recurring issues (if applicable) 1 2 3 4 p S Back 2 Basics 24 Managing Housing Units, Part 1 EFTA00141324 FY2024 BACK 2 BASICS Instructor Guide LESSON: MANAGING HOUSING UNITS, PART II LENGTH: As Identified per activity INSTRUCTOR-TO-PARTICIPANT RATIO: As indicated for each activity OBJECTIVES: Given the content discussed in the lesson titled, "Back 2 Basics, Managing Housing Units, Part I," participants will be able to: • Conduct an area search of the housing unit • Conduct a cell search in a housing unit • Conduct a round in the housing unit • Conduct a bed book audit • Conduct a Fire and Security Check METHOD OF ASSESSMENT: • Performance-Based Evaluation PREREQUISITES: • Back to Basics, Overview and Expectations • Back to Basics, Managing Housing Units, Part I INSTRUCTOR MATERIALS: As indicated per activity STUDENT MATERIALS: As indicated per activity REFERENCES: Back to Basics, Managing Housing Units, Part I APPENDIX: No POWERPOINT: No RECOMMENDED INSTRUCTORS: Captain and/or Lieutenant as delegated plus one (1) additional supporting employee to assist in the oversight of individual activities. Back 2 Basics 1 Managing Housing Units, Part II EFTA00141325 FY2024 BACK 2 BASICS Instructor Guide SPECIAL NOTES: The attached activities will take place in an inmate housing unit at the local facilities. Individual activities chosen and the desired number to conduct will vary for each institution. All options are at the discretion of the Warden for each respective facility. Managing Housing Units, Part I must be completed prior to conducting the activities identified in this portion of the lesson. PRIOR TO INSTRUCTION: 1. Gather all critical information needed to effectively conduct the activity(ies). This includes: • Number of employees participating in the activity(ies). • Location of housing unit where activity(ies) will be conducted. • Location of inmates while the activity(ies) are being conducted (i.e., whether inmates will be relocated to a different area such as Recreation, inmates will be locked in their cells, etc.). • Specific activity(ies) to conduct with the employees. 2. Review all activities in detail, considering the information mentioned above. 3. Gather all student materials as indicated for each activity. 4. Take all materials, if applicable, to the identified housing unit. SPECIAL NOTE: Accountability of Materials: All materials should be collected, accounted for, and removed from the location when training and/or practical exercises are conducted in the presence of inmates. Absolutely NO materials should be in circulation for Part II of this lesson. Back 2 Basics 2 Managing Housing Units, Part II EFTA00141326 FY2024 BACK 2 BASICS Instructor Guide Activity #1: Conduct an Area Search of the Housing Unit Time Frame: 30 minutes Instructor to Participant Ratio: 1:30 Objectives: Given a Daily Fire and Security Inspection Report, a Commissary List, and a list of Inmate Personal Property for the local facility, participants will be able to: • Successfully complete an area search for a housing unit. Instructor Materials: • Pencils • Copies of Daily Fire and Security Inspection Report, local, one (1) per group of two (2) participants • Copies of Commissary List, local, one (1) per group of two (2) participants • Copies of Inmate Personal Property, local, one (1) per group of two (2) participants • Identified tools needed to conduct the search Instructor Notes: 1. Divide the participants into groups of two (2) participants per group. 2. Pass out one (1) Daily Fire and Security Inspection Report, one (1) Commissary List, and one (1) Inmate Personal Property List per group. 3. Inform employees to refer to the Fire and Security Inspection Report as needed. 4. Refer to local guidance for details to conduct the search. Debrief: Take time shortly after conducting this activity to reflect on items noted, found, and documented. Make any notes that may need further discussion regarding your institution. Back 2 Basics 3 Managing Housing Units, Part II EFTA00141327 FY2024 BACK 2 BASICS Instructor Guide Activity #2: Conduct a Cell Search in a Housing Unit Time Frame: 15 minutes Instructor to Participant Ratio: 1:10 Objectives: Given a Commissary List and a list of Inmate Personal Property for the local facility, participants will be able to: • Successfully complete a cell search for a housing unit. Instructor Materials: • Pencils • Copies of Commissary List, local, one (1) per group of two (2) participants • Copies of Inmate Personal Property, local, one (1) per group of two (2) participants • Identified tools needed to conduct the search Instructor Notes: 1. Divide the participants into groups of two (2) participants per group. 2. Pass out one (1) Commissary List and one (1) Inmate Personal Property List per group. 3. Initiate the evaluation by assigning the participant to search a designated area. 4. Observe the participant. Limit interaction with the participant. Do not coach nor answer questions which would give the participant an advantage. 5. The following sequence of steps should be stressed while evaluating the performance of each participant: 6. Obtain required search tools. 7. Plan a systematic search process: 8. Verbally describe the plan for searching the area. 9. Look over the area to be searched; establish an overall impression; identify suspicious circumstances. 10. Select a starting point. 11. Inspect the area and all contents. 12. Follow described search strategy. Ensure the participants: • Search the cell; check all movable or installed items and equipment; use tools as appropriate; take notes of unusual circumstances or needed repairs. • Continue search after contraband is found. • Leave cell as it was found. • Confiscate and remove contraband. Back 2 Basics 4 Managing Housing Units, Part II EFTA00141328 FY2024 BACK 2 BASICS Instructor Guide • Document the search. • Optional, prepare Work Requests. Debrief: Take time shortly after conducting this activity to reflect on items noted, found, and documented. Make any notes that may need further discussion regarding your institution. Back 2 Basics S Managing Housing Units, Part II EFTA00141329 FY2024 BACK 2 BASICS Instructor Guide Activity #3: Conduct an Irregular Round in a Housing Unit Time Frame: 15 Minutes Objectives: Given local guidance, participants will be able to: • Conduct a successful round in the housing unit. Instructor Materials: • Pencils • Computer with TRUSCOPE Instructor Notes: 1. Divide the participants into groups of three (3) participants per group. 2. Provide specific guidance to groups on how to conduct an effective round of the housing unit. Note areas that may need closer inspection. 3. Upon completion, instruct one (1) of the three (3) participants to record their findings in TRUSCOPE. Debrief: Take time shortly after conducting this activity to reflect on how it went, how engaged the participants were, and what questions were raised, if any. Make any notes that may need further discussion regarding your institution. Back 2 Basics 6 Managing Housing Units, Part II EFTA00141330 FY2024 BACK 2 BASICS Instructor Guide Activity #4: Conduct a Bed Book Audit Time Frame: 1 Hour Objectives: Given specific instruction, participants will be able to: • Effectively conduct a bed book audit of inmates in the housing unit. Instructor Materials: • Pencils • Picture Card File, Electronic or Paper • SENTRY Roster • Memorandum (if applicable) Instructor Notes: 1. Retrieve the inmate bed book. 2. Print the SENTRY roster of inmates in the housing unit. 3. Provide additional guidance to employees, if needed. 4. Instruct the employees to conduct the bed book audit of the housing unit. Back 2 Basics 7 Managing Housing Units, Part II EFTA00141331 FY2024 BACK 2 BASICS Instructor Guide Activity #5: Conduct a Fire and Security Check of the Housing Unit Time Frame: 30 minutes Instructor to Participant Ratio: 1:30 Objectives: Given a Daily Fire and Security Inspection Report local facility, participants will be able to: • Successfully complete a daily fire and security inspection for a housing unit. Instructor Materials: • Pencils • Copies of Daily Fire and Security Inspection Report, local, one (1) per group of two (2) participants Instructor Notes: 1. Divide the participants into groups of two (2) participants per group. 2. Pass out one (1) Daily Fire and Security Inspection Report, one (1) Commissary List, and one (1) Inmate Personal Property List per group. 3. Inform employees to refer to the Fire and Security Inspection Report as needed. Inform them to consider the following: • Inspect safety items • Check light fixtures, wiring, and outlets for damage, tampering, overloading. • Check access routes for obstructions. • Check waste receptacles for improper/unsafe disposal. • Check smoke detectors/alarms/signaling devices for damage or malfunction. • Check firefighting equipment and SCBA for damage or malfunction. • Check personal safety equipment for wear and damage. • Check for the presence of contraband. • Inspect sanitation items • Check trash receptacles for cleanliness, overflow, and proper disposal. • Check structure/fixtures for dirt and damage. • Check living areas/furnishings/carpets for dirt, stains, and damage. • Check bathrooms/showers/plumbing for dirt, obstructions, and adequate supplies. • Check for signs of infestation (insects, rodents). • Inspect security items • Check gates/doors/windows for damage and tampering. Back 2 Basics 8 Managing Housing Units, Part II EFTA00141332 FY2024 BACK 2 BASICS Instructor Guide • Check manholes/tunnels/access points for damage and tampering. • Check interior structure/features for tampering. • Check for the presence of contraband. • Check fences/perimeter walls for damage and tampering. • Check building walls/roofs for damage and tampering. • Check locks for damage, tampering, and proper operation. • Use the mallet to tap bars and grills. • Use a putty knife to check space between walls and fixtures. • Use a flashlight to check dark areas. 4. Refer to local guidance for additional details needed to conduct the search. Debrief: Take time shortly after conducting this activity to reflect on items noted, found, and documented. Make any notes that may need further discussion regarding your institution. Back 2 Basics 9 Managing Housing Units, Part II EFTA00141333 The goal of the Automated Staffing Tool (AST) is to address BOP's staffing challenges by providing an updated, standardized, and transparent view of staffing guidelines and an interactive way for BOP leadership to assess staffing levels based on evolving mission needs. Challenges with Current Staffing Guidelines • Guidelines are based on a static formula that assumes Correctional Officers work 210 days a year; not inclusive of extended leave (e.g., military leave, training requirements, etc.) • Development and implementation of guidelines are not standardized across divisions • Current guidelines do not account for additional, mission critical requirements (i.e., institution specific characteristics, distance to external resources, etc.) AST Prototype Capabilities  Built on criteria including institution specific characteristics validated by BOP Central Office and MXRO Region Subject Matter Experts  Replace and standardize outdated 2016 Staffing Guidelines  Provide transparent centralized view of recommended Custody staff by institution  Improve over time with more features and additions (Iterative prototype) • DI PARI MI NI ()) RISI K flIII RA ARIA Al/ (TI PRISON, (NOR) Ye Staffing Tool (NW-A/Lin. Noon Piotot)pe) OM. 16 3.771 ,omoNentled NM W Onopire 4. 0 0,0 IRO • MO 2000 HO P0,00. 90. MINIM= Non 1.100/ I M AST Mid-Atlantic Custody Prototype screenshot Next steps include incorporating post-level baseline data EFTA00141334 FEDERAL BUREAU of PRISONS Risk Analysis of Overtime, Augmentation, and Incentive Payment Apri l 2022 EFTA00141335 Table of Contents r Overview Executive Summary Background & Current Processes Summary of Approach Overtime & Augmentation Analysis Correlation Chart Section 1: Overtime Usage, Connections Current Usage of Overtime (Overall Snapshot, Reasons for Overtime) Connection: Augmentation Not Associated with Overtime Connection: Incidents Not Associated with Overtime Connection: Leave (Sick & AWOL) Associated with Overtime Connection: Vacancies Not Associated with Overtime BOP's Overtime Tool Section 2: Augmentation Usage, Connections Overview: Overtime and Augmentation Current Usage of Augmentation (Overall Snapshot) Connection: Incidents Not Associated with Augmentation Connection: Leave (Sick and AWOL) Not Associated with Augmentation Connection: Vacancies Not Associated with Augmentation Section 3: BOP Incentive Analysis Summary of BOP Incentives Overview of Insights Recruitment & Relocation Incentive Usage Retention Incentive Usage - Findings and Insights Connection: Retention Incentives Not Associated with Staff Separations Connection: Unclear if Current Retention Incentives are Cost Effective Connection: Retention Incentives VaryAcross Institutions, Vary Within Institutions Case Study: North Central Region (NCR) Psychology Services Appendix Summary of Analysis & Findings Recruitment Incentive Usage Summary Relocation Incentive Usage Findings OBJECTIVE To review and analyze the risks associated with BOP's increased usage of overtime and augmentation and analyze the effectiveness of recruitment, relocation and retention incentives. EFTA00141336 Executive Summary This document highlights the bureau of Prisons' usage of overtime, augmentation and incentives (from 2017-2021) to uncover potential drivers of, and effectiveness of, usage. Key Takeaways Trends of both Overtime and Augmentation have both been increasing over time, disputing the hypothesis that they are used to substitute each other 85% of incentive payments are focused on retention incentives S Retention incentives do not appear to reduce staff separations 3 EFTA00141337 Background & Current Processes In response to staffing issues, the Government Accountability Office (GAO) published a report in Feb. 2021 outlining shortfalls across the bureau. This analysis seeks to satisfy the recommendation of the bureau to conduct a risk assessment of its overtime and augmentation use on its staff, inmates, and institution security, and assess the outcomes of the incentives it utilizes. Overtime Augmentation Incentives CURRENT PROCESS • Overtime reports can be pulled from the Roster Scheduling Software that is viewable at the Central, regional, and local level • The Roster Scheduling Program makes improvements on some current processes associated with assigning overtime (e.g., current training certifications are captured in program, so it is clear who is qualified for a shift, and Overtime Authorization forms are automatically saved in the system) • Correctional Programs Division (CPD) developed a separate Overtime Tool housed in SAS that tracks overtime spending by institution, region, and overall agency • The Overtime Tool is accessible at the regional level. Regional leaders have the authority to share this information at the local level (usually institution Wardens and Captains). The report used for the Overtime tool is updated by local administrators on a monthly basis • The responsibility of tracking augmentation is at the local level; how accurately the augmentation time code is utilized depends on each institution • Some institutions utilize an augmentation log to track the reason and the frequency of staff augmentation to provide transparency to institutional staff • Posts that are augmented for part of a shift may not get coded as being augmented, potentially resulting in an under-reporting of the practice • Wardens request incentives from their respective regional office who approve incentives at their own discretion • Funding for incentives comes from an institution's operational budget • There does not appear to be a standard policy bureau-wide that articulates reasoning behind retention incentive variances (for the same position at the same institution) or ties current retention incentives to quantifiable metrics defined in terms of an agencys goals (per OPM's guidance) • Incentives are sent to Staffing and Employee Relations (SERS) to be reviewed annually as required by OPM OBJECTIVES OF ANALYSIS O Uncover risks associated with increased use of overtime hours per staff Uncover risks associated with increased use of augmentation hours per staff Analyze the usage of recruitment, relocation, and retention incentives 4 EFTA00141338 Summary of Approach Our approach centered on testing several hypotheses to best uncover potential risks associated with BOP's increased use of overtime and augmentation and usage of incentives. Section 1: Overtime Risk Analysis Section 2: Augmentation Risk Analysis Section 3: Incentive Usage Analysis Data Inputs Hypotheses Analyses Conducted Limitations • Overtime and Augmentation hours for all BOP staff by institution and region (FY17-FY21) • Inmate related incidents by institution and region (FY17-FY21) • Sick and AWOL leave by institution and region (FY19-FY21) • Vacancies across all institutions (FY21) • Overtime and Augmentation usage are used to substitute each other (I.e., as one increases, the other decreases) • The institutions with the highest overtime and augmentation usage are the most short-staffed • Institutions with high levels of overtime and augmentation experience more safety incidents • Institutions with increased usage of overtime and augmentation utilize more sick leave and absent without leave (AWOL) 1. Review BOP's current overtime and augmentation per staff yearly trend overall and regionally 2. Review BOP's current overtime hours by custody and non-custody staff 3. Test relationship of overtime and augmentation between inmate incidents, sick & AWOL usage, and vacancies with regression analysis (The strength of relationships is scored using R2. In statistics, R2 is the proportion of the variation in the dependent variable that is predictable from the independent variable. For the purposes of these analyses, an R2 value of .50 or greater is considered a strong relationship) 4. Review BOP's current Overtime Tool to address gaps and opportunities for improvement • Unable to retrieve workplace injuries date to test relationship with overtime and augmentation • Vacancy data was limited to 2021 and could not assess prior years • Unable to retrieve number of programs delayed/cancelled to test relationship with augmentation • Per-person hiring, relocation and retention incentive spending for FY17-FY21 across all 122 BOP institutions • BOP exit survey data 2016-2020 • Cost to hire* • Retention incentives reduce staff separations • Retention incentives are connected to hard-to-fill locations and positions 1. Review summation of incentives given to staff 2. Breakdown recruitment, relocation, and retention incentives by percent of staff and the top positions receiving them 3. Analyze retention incentive variance of top BOP positions receiving incentives 4. Calculate average retention incentive spending per staff 5. Test relationship between separation rate and retention incentive spending with regression analysis • Unable to retrieve cost associated with hiring new staff at BOP to compare to cost of staffing incentives *Source: Automati _D_ata_Pro_cessing_CADP) 5 EFTA00141339 Overtime & Augmentation Analyses Correlation Chart This chart encompasses the three types of analyses conducted against Overtime and Augmentation data. Analyses that proved a correlation are accompanied with a check mark, while analyses that did not show a correlation are accompanied with an X. Analyses Conducted Against Overtime and Augmentation Data Inmate Incidents Sick Leave and Absent Without Leave (AWOL) Usage Vacancies Correlation with Overtime? s/ x Correlation with Augmentation? x x x When Overtime and Augmentation were compared against one another, it did not appear that overtime and augmentation are used in substitution. 6 EFTA00141340 Overtime Risk Analysis EFTA00141341 Current Usage of Overtime - Overall Snapshot A review was conducted using overtime usage data from 2017-2021 to assess the usage trend across all institutions. Below are the initial observations of usage overall and by region. Average Overtime Hours per Staff 250 183 194 182 200 135 C 150 93 100 50 201/ 2018 2019 fiscal Year 2020 2021 300 250 200 ii 150 100 so Average Overtime Hours per Staff by Region MXR NCR NER SCR SER Region WXR ■ 2017 ■ 2018 ■ 2019 2020 ■ 2021 Key Findings • Overtime usage (hours) has increased significantly from 93 hours per staff in 2017 to 182 hours per staff in 2020* • While the overtime usage has gone down minimally from 2020, the 2021 average is approximately 95% higher from its 2017 average • The region with the highest overtime usage (hours) per staff in 2020 is South Central, but the Western region had the highest percent increase from 2017 to 2020 • In 2021, the top 5 institutions with the highest Overtime per staff were and Big Spring FCI, Brooklyn MDC, Coleman Complex, Forrest Complex, and Yazoo City Complex and the highest vacancies were Beaumont, Butner Complex, Florence Complex, Thomson USP, and Yazoo City Complex *The increose of overtime from 2019,2020 could hove been due to COVID-19 8 EFTA00141342 Current Usage of Overtime - Reasons for Overtime A review was conducted using overtime usage data from 2017-2021 to assess the usage trend across all institutions. Below are the initial observations of overall usage broken out by reasons for overtime (custody, outside hospital, other). Overtime Hours Total Overtime Hours by Reason 4,000 3,500 3,000 2,500 2,000 1,822 1,763 500 3,392 3,220 2,345 2017 2018 2019 2020 2021 Fiscal Year yo Custody —0— Outside Hospito —0— Other Key Findings • Custody overtime hours of 963 thousand in 2017 was relatively low compared to outside hospital hours of 1,822 thousand* However, over the years the gap between the two has been closing In 2019, custody overtime hours surpassed outside hospital by 22% In 2021, custody overtime hours surpassed outside hospital by 37% Other reasons for overtime have remained relatively low compared to custody and outside hospital, however it would be beneficial to understand the full reasons for overtime *This dato is solely based on reported ovenim hours in towl and not on the full reasoning behind use of overtime 9 EFTA00141343 Connection: Augmentation Not Associated with Overtime An analysis of overtime was conducted using overtime hours and augmentation hours for individual institutions for the time period of 2019. The purpose was to test the hypothesis of: Overtime and Augmentation usage are used to substitute each other (I.e., as one increases, the other decreases). Real world data significance requires R2 > .50 for consideration. Each blue dot represents an institution. Overtime Hours 43 500 400 -,E 300 200 100 0 Overtime and Augmentation R2 = 0.2036 • • • •• • • • • • II • • 0 5 10 15 20 25 30 Thousands Augmentation Hours 0 250 200 150 100 50 Average Overtime and Augmentation Hours Per Staff 183 194 182 7 10 10 14 13 • • 2017 2018 2019 2020 2021 Fiscal Year -•-•Overtime .0 —.Augmentation Key Findings • Assessing augmentation and overtime by fiscal year 2019, the R2 value is .20 - Meaning it is not significant enough to conclude that there is a strong relationship • Although the relationship is not strong, it is leaning towards a positive one. Since institutions have anecdotally relayed that overtime and augmentation are used to substitute each other, it would be anticipated that they would have a negative relationship (as one increased, the other decreases) • When assessing the 5-year usage trend analysis for overtime and augmentation, they both follow the same trend—both have increased over time Connection It does not appear that overtime and augmentation are used in substitution. 10 EFTA00141344 Connection: Incidents Not Associated with Overtime Risk analysis of overtime was conducted using overtime hours and inmate incidents data, for individual institutions for the time period of 2019. The purpose was to test the hypothesis of: Institutions with high levels of overtime experience more incidents. Real world data significance requires R2 > .50 for consideration. Each blue dot represents an institution. 250 200 150 50 0 Overtime and Inmate Incidents R2 = 0.2882 • • • • • • I • • • • • • 0 50 100 150 200 250 300 350 400 450 Thousands Overtime Hours Key Findings • Assessing at the incidents and overtime by fiscal year, the R2 value is .29 - Meaning it is not significant enough to conclude that there is a strong relationship • While an increase in overtime use can lead to incidents, it cannot be concluded that it is a direct affect of overtime with the data provided • Additionally, it is acknowledged that incidents represent an extreme outcome of increased institution safety risks— meaning that there might still be increased safety risks with increased overtime usage, even if those do not connect to an increase in incidents Connection There does not seem to be a relationship between inmate incident and staff overtime. ,Inmate incident data is a consolidated report o allegations, verified assaults, and minor incidents for inmate-on-inmate and inmate-on-staff incidents. Time period of 2019 was used to factor out COV1D.19. he strength of relationships is scored using R2. In statistics, R2 is the proportion of the variation in the dependent variable that is predictable from the independent variable. For the purposes of these analyses, an R2 value of .50 or greater is considered a strong relationship. 11 EFTA00141345 Connection: Leave (Sick & AWOL) Associated with Overtime Risk analysis of overtime was conducted using overtime hours of all institutions and leave, usage during the same time period of 2019. The purpose was to test the hypothesis of: Institutions with increased usage of overtime utilize more sick leave and absent without leave (AWOL). Real world data significance requires R2 > .50 for consideration. Each blue dot represents an institution. Key Findings • Assessing the leave and overtime by institutions, the R2 value is .52 - Meaning it is significant enough to conclude that there is a strong relationship • There is a positive relationship between overtime and leave usage meaning when overtime is high, a similar pattern can be seen with leave usage (Although it cannot be said for certain it is a one-for-one relationship of overtime and leave usage as other factors such as staff tenure need to be considered) • An increase of overtime could mean that more staff call out, which could be a result of burn out or decreased morale Connection Instances of institutions with increased usage of overtime could be an indicator of increased sick and AWOL leave usage. ,This analysis includes sick and AWOL leave hours. Time period of 2019 was used to factor out COVID-19. 12 EFTA00141346 Connection: Vacancies Not Associated with Overtime Risk analysis of overtime was conducted using overtime hours of all institutions and vacancies during the same time period of 2021. The purpose was to test the hypothesis of: The institutions with the highest overtime usage are the most short-staffed. Real world data significance requires R2 > .50 for consideration. Each blue dot represents an institution. C 3 250 200 150 100 so 0 .50 Overtime and Vacancies R2 = 0.1874 • • • so 100 150 200 250 300 350 400 • • • • • 0 Overtime Hours 450 500 Thousands Key Findings • Assessing the vacancies and overtime by institutions, the R2 value is .18* - Meaning it is not significant enough to conclude that there is a strong relationship • There does not seem to be a relationship between overtime hours and vacancies • Since overtime is used to supplement the shortage of staff, there might be other driving factor(s) leading to increase overtime use (i.e., staff callouts) *The weak relationship between Overtime and Vacancies could be due to a position not being filled as a result of a staff member on extended leave or staffing guidelines not being the most up to date Connection Vacancies are not directly associated with overtime hours. *The regression analysis was based on availability of v cancy data 13 EFTA00141347 BOP's Overtime Tool BOP created a tool in SAS to retroactively track overtime spending budget of its facilities going back as far as 2009. Below is an overview of its current capabilities and the opportunities for improvement. Current Capabilities and Features High-level coding of reasons for overtime (Custody, Outside Medical, Other) Ability to filter by agency, regionally, and facilities to drill down further Track overtime spending regionally and/or by facilities to assess spending against their allocated budget Access to Regional Directors for awareness on overtime spending Data pulled from local administrators that pull from financial system (UFMS) on a monthly basis EFTA00141348 Augmentation Risk Analysis EFTA00141349 Current Usage of Augmentation - Overall Snapshot A review was conducted using augmentation usage data1 from 2017-2021 to assess the usage trend across all institutions. Below are the initial observations of usage overall and by region. 15 10 0 x 7 2017 Average Augmentation Hours per Staff 14 10 10 2018 2019 Fiscal Year 2020 13 2021 20 is 10 S Average Augmentation Hours per Staff by Region 111111111 g olid 1101 101 MR NR • 2017 • 2018 ■ 2019 2020 ■ 2021 Key Findings • Following a similar pattern of overtime, augmentation usage (hours) has also increased significantly from 7 hours per staff 2017 to 13 hours per staff 2021 • While the augmentation usage has gone down minimally from 2020, the 2021 average is approximately 86% higher from its 2017 average The region with the highest augmentation in 2021 is North Central, but the Western region had the highest percent increase from 2017 to 2021 In 2021, the top 5 institutions with the highest Augmentation per staff were and Berlin FCI, Sheridan FCI, Thomson USP, Waseca FCI, and Williamsburg FCI and the highest vacancies were Beaumont Complex, Butner Complex, Florence Complex, Thomson USP, and Yazoo City Complex 'Augmentation data might be underrepresented as its dependent on the augmentation code input 17 EFTA00141350 Connection: Incidents Not Associated with Augmentation Risk analysis of augmentation was conducted using augmentation hours and incidents, data for individual institutions for the time period of 2019. The purpose was to test the hypothesis of: Institutions with high levels of augmentation experience more incidents. Real world data significance requires R2 > .50 for consideration. Each blue dot represents an institution. 250 200 • • • •• • • • Augmentation and Incidents • • S.• • • • so • • • • • •• • • • • • di r. fles de OF °OS •• • 0 • • • • 0 2 4 6 • Augmentation Hours R2 = 0.1299 • • • • 10 12 14 16 Thousands Key Findings • Assessing at the incidents and augmentation by fiscal year, the R2 value is .13 - Meaning it is not significant enough to conclude that there is a strong relationship • There does not seem to be a relationship between augmentation hours and number of incidents that are inmate driven • Although, there is no relationship found, there could be a risk to safety of institutions as incidents are only one factor considered. Connection There does not seem to be a relationship between inmate incident and staff augmentation. ,Inmate incident data is a consolidated report on allegations. assaults, and minor incidents for inmate-in-inmate and inmate-on-staff. Time period of 2019 was used to factor out COV1D.19. 18 EFTA00141351 Connection: Leave (Sick and AWOL) Not Associated with Augmentation Risk analysis of overtime was conducted using augmentation hours of all institutions and leave, usage during the same time period of 2019. The purpose was to test the hypothesis of: Institutions with increased usage of augmentation utilize more sick leave and absent without leave (AWOL). Real world data significance requires R2 > .50 for consideration. Each blue dot represents an institution. Leave Hours 1 2 20 18 • 0 -C 16 14 12= • • • 10 • • • • • 8 • • • • 0 • 6 • • Augmentation and Leave • • • • • • • • • : • • • a i • I % . 45 *t e e • 4 • • 40. • • 2 R2 = 0.0892 • • • • 0 0 2 4 6 8 10 12 14 16 Thousands Augmentation Hours Key Findings • Assessing at leave and augmentation by institutions, the R2 value is .09 - Meaning it is not significant enough to conclude that there is a strong relationship • There does not seem to be a relationship between augmentation hours and leave usage • Since augmentation might be underreported (it is unplanned and does not impact operational budget the way that overtime does), the leave usage relationship could be understated as it would be anticipated that augmentation would follow a similar trend of overtime and leave Connection There does not seem to be a relationship between sick and AWOL leave usage and staff augmentation. ,Leave in this analysis includes sick and AWOL leave hours. Time period of 2019 was used to factor out COVID.19. 19 EFTA00141352 Connection: Vacancies Not Associated with Augmentation Risk analysis of overtime was conducted using augmentation hours of all institutions and vacancies during the same time period of 2021. The purpose was to test the hypothesis of: The institutions with the highest augmentation usage are the most short-staffed. Real world data significance requires R2 > .50 for consideration. Each blue dot represents an institution. 250 200 150 a., 100 50 0 -50 Augmentation and Vacancies R2 = 0.1293 • • • • • - • • • • • t 0 5 10 15 20 25 Augmentation Hours I housanc, Key Findings • Assessing the vacancies and augmentation by institutions, the R2 value is .13 - Meaning it is not significant enough to conclude that there is a strong relationship • There does not seem to be a relationship between augmentation hours and vacancies • Since augmentation is used to supplement the shortage of staff, there might be other driving factor(s) leading to increase augmentation use (i.e., staff callouts) Connection Vacancies are not directly associated with augmentation hours. The regression analysis was based on availability of va ancydata 20 EFTA00141353 Incentive Usage Analysis EFTA00141354 Summary of BOP Incentives BOP offers Recruitment, Relocation, and Retention incentives to its staff. Below is a high-level overview of BOP incentive spending from FY17 - FY21. • BOP spent $19.9M on a total of 2,612 recruitment incentives • BOP spent a minimum of $3.6K and a maximum of $42.7K per employee for recruitment incentives • The top positions receiving recruitment incentives include GS 5/6 Correctional Officers ($9.5M), GS 7 Senior Officers ($3.4 M), and RNs ($2.1 M) • BOP spent $7.3M on a total of 544 relocation incentives • BOP spent a minimum of $4.5K and a maximum of $43K per employee for relocation incentives • The top positions receiving relocation incentives include Lieutenants ($2.6M), Health Services Administrators ($199K), and GS-8 Senior Officer Specialists ($231 K) • BOP spent $166.6M on a total of 21,744 retention incentives • BOP spent a minimum of $826 and a maximum of $43K for retention incentives • The top positions receiving retention incentives include GS8 Senior Officer Specialists ($17.7M), GS7 Senior Officers ($14.6M), and RNs ($16.8M) •Relocation incentives are separate from relocation reimbursement. A relocation incentive is compensation offered in addition to relocation reimbursement. This analysis did not examine relocation reimbursements. 23 EFTA00141355 Overview of Insights BOP's investment in staff incentives has increased from 2017, but this investment does not appear to have strong correlations to reducing staff separations. Staff separations are not associated with incentive spending There is no strong correlation between incentive spending and staff separations (R2=0.004) Overall, incentive spending has increased since FY17 Across all types of incentives, payments have increased from $22.5M in FY17 to nearly $62M in FY21 Recruitment spending has increased and has primarily targeted entry level Correctional Officers Recruitment spending has remained at $6.9M and has focused on bringing in new Correctional Officers Relocation incentives are seldomly used Relocation incentives only account for $7.3M and account for only 3.5% of all incentive spending Most incentive money is spent on retention incentives Out of the total $193M on all incentives, $166.6M was spent on retention incentive, representing 85% of total spent Retention incentive compensation can fluctuate for the same position at the same institution Some positions at the same institution can range as much as 19% in retention incentives EFTA00141356 Recruitment & Relocation Incentive Usage BOP has increased spending for recruitment and relocation incentives since FY17. Summary below reflects the years of FY17 - FY21. Recruitment 600% increase in total spending for recruitment incentives (from $980K in FY17 to $6.9M in FY21). 700% increase in recruitment incentive payments to GS 5/6 Correctional Officers since FY17. 2.8% of staff received recruitment incentives across all regions. The Western Region distributes the greatest number of recruitment incentives (5% of all staff receive a recruitment incentive). 21 4 2X more total incentive spending from FY17 to FY21. Total spending across all incentives has more than doubled in the last five years, from $21 M to $51M. Relocaticm 4% of total incentive spending was spent on relocation incentives. $2.4M in relocation incentives for Lieutenants. Lieutenants received more in relocation incentives than any other position in corrections. 544 total relocation incentives distributed. USP Thomson distributed the greatest number of relocation incentives (67 total). 25 EFTA00141357 Retention Incentive Usage - Findings and Insights Retention incentives offer compensation to entice existing staff to continue employment with BOP and delay separation or retirement. 60% 50% s 40% O 30% 13 • 20% 10% 0% MXR % of BOP Staff on Retention Incentives NCR NER SCR SER WXR I ■ 2017 ■ 2018 ■ 2019 ■ 2020 ■ 2021 Sum of incentive 6 5 Top 10 Positions w/ Greatest Retention Incentive Sum Id hill niii Ind ..Id ..6 ■201i • 2018 • 2019 e 2020 • 2021 Key Fin dings Retention incentives are used frequently, especially in the Western region and focus on Senior Officer Specialists • Retention incentives are used frequently Retention incentives were used 21K times from FY17-FY21 • The Western region uses the most retention incentives About half of all retention incentives used in FY17-FY21 focused on the Western region • The position that receives the largest amount of retention spending is GS-8 Senior Officer Specialists $17.7M was spent for GS-8 Senior Officer Specialists from FY17- FY21 SR DIETER REGISTERED SR OFFCER MC LEVEL LIEUTENANT COOK FRAIN CORRECTIONAL DRUG ABUSE NITNCE MAR QUAL SPECIALIST NJRSL ICORRICINMS PRACTMCAER OFFICER IGS FROG COORD FRAM IIAPRNAT A (CORRECTIONS GSM) (CUNICALI OSA) ',maim GSM) CONE NORSE 26 EFTA00141358 Connection: Retention Incentives Not Associated with Staff Separations Retention incentive spending does not appear to correlate to trends of staff separations. Ln • ra 0 .c Dollars per Staff 12 10 a 6 4 2 0 MXR Average Retention Incentive Spending Per Staff NCR 1 SCR 1 SER 1 WXR Separation Rate 10% 9% 8% 7% 6% 5% 4% 3% 2% 1% 0% Separation Rate vs. Retention Incentive Spending R2 =0.004 • • • • • •• • • da• • • • • SM 10M 15M 20M Sum of Retention Incentive Spending Key Findings Retention incentives do not appear to reduce staff separations • Average per staff spending is highest in the Mid-Atlantic and lowest in the Western Region However, the Western region spends the most in total on retention incentives. The Mid-Atlantic region spends almost double on retention incentives per staff compared to the Western region • Retention incentives do not appear to be effective at reducing staff separations There is no strong correlation between incentive spending and staff separations— the R2 value is.004- Meaning it is not significant enough to conclude that there is a strong relationship £sch dot reprearrts per year per regeir 27 EFTA00141359 Connection: Unclear if Current Retention Incentives Are Cost Effective It is unclear what level of retention incentive are cost effective relative to the cost of hiring. 200 180 160 140 120 100 so 60 40 20 0 Cost to Hire vs. Cost of Correctional Officer Retention Incentives Cost to Hire* ($4.1 K) (1K, 2K] (2K, 38) (38, 481 (4K, 5K) (5K, 6K) (6K, 7K) (7K, 8K] (88, 98] Retention incentive $ Amount Percentage of Respondents 60% 40% 20% 0% Does Access to Retention Incentives Best Describe your Reason for Leaving your Current Position? (BOP Exit Survey Data) • • 2017 2018 2019 SAO Respondents% ii•Non•Retirement % —Ko—Voluntary Retirement % 2020 Key Findings BOP may be using retention incentives when it may be more cost-effective to hire new staff • BOP uses retention incentives when it may be cheaper just to hire new staff. However, BOP should further investigate its own per capita cost of hiring External research indicated that the cost to hire new employee was $4.1 K. However, a deeper analysis of BOP's cost of hiring is required to understand at what cost point incentives make sense to retain staff. • Nearly half of non-retirement staff separations exit survey respondents cite their inability to receive a retention incentives as their reason for leaving However, survey response rate was limited with only 433 respondents from FY17-FY20 *Source• Automatic Data Processing (ADP) EFTA00141360 Connection: Retention Incentives Vary Across Institutions The percentage of retention incentives offered for specialized positions vary, but retention incentives remain relatively consistent for Correctional Officers. 50% 45% 40% 35% t 30% C 0 "E. 25% a., a, cc 20% 15% 10% 5% 0% A.. 4%* k. Oct ISSt U t k BOP • • Positions ! w/ Largest Retention • % Range (FY17-FY21) • 39 I I 1 • • • ..t. C. .„.k. Cs ot kt. AE. . S. st., k- se & 2" 3. c, V POD W 0 (-) 0 W 044 14. POD C.• Q. Nt. 4 jz A o 4, t (. (... q. ,t% se: ,...§.- .4-• -% S' .4 k -i-f ( GI 2.4 2 V 4t" (,) 4;7 C' 4> A ct- 0 O. e .3* 2 2' .2 0 0 000 C.; 42 0 0 1/4 0 4. -P. 4 (40(.7 A. 1 I € *Please note that as of Summer 2021, Chief Dental 0 t BOP Position Officers no longer receive incentives due to Title Key Findings Retention incentives vary within BOP positions • Assistant Food Service Administrators retention incentives have the largest retention incentive variance 124 retention incentives given to Food Service Administrators ranged from 1% to 32%, but most were between 5-15% • Most Correctional Officers who receive retention incentives are awarded between 10-15% of their salary 674 Correctional Officers were awarded retention incentives from FY17-FY21 Connection For your awareness, retention incentives vary for the same position across institutions, but they also vary for the same position at the same institution. 29 EFTA00141361 Connection: Retention Incentives Vary Within Institutions Retention incentives can vary for the same position, even within the same institution. Associate Warden at FCI Jesup 30% 25% 20% 15% 10% 5% 0% Drug Abuse Prog Registered Nurse at Coord. At Memphis FCI FCI Tucson 1 ae/ Minimum Maximum Minimum Maximum Minimum Maximum Incentive Incentive Incentive Incentive Incentive Incentive *The Associate Warden at FCI Jesup was only temporarily assigned and was soon thereafter appointed to Chief Psycho