Program Statement 3000.03, human Resource Management Manual

P3000.03 HUMAN RESOURCE MANAGEMENT MANUAL

Starting in May of 2006, the Office of National Policy Management began

reformatting policies that contain change notices. With the rapid growth

in word processing and electronic distribution via Sallyport and the

internet, many of these WordPerfect 5.0 documents have become unstable.

No word or substance changes have or will be made to any of these

documents. To avoid confusion these documents will be re-issued

electronically with a new number and new date.

Thank you for your patience during this conversion process and please give

me a call if you have any questions or concerns.

Robin Gladden

Directives Manager

(202) 616-9150

Program

Statement

U.S. Department of Justice

Federal Bureau of Prisons

OPI: HRM

NUMBER: P3000.03

DATE: 12/19/2007

SUBJECT: Human Resource Management

Manual

This is an electronic re-issuance for

technical reasons only. There are no

substance or word changes to the document.

1. PURPOSE AND SCOPE. To provide for the recruitment,

selection, promotion, training, and evaluation of Bureau

employees and to establish a Human Resource Management system to

conduct these operations.

2. PROGRAM OBJECTIVES. The expected results of this program

are:

a. The Bureau of Prisons will maintain a competent and

representative workforce.

b. Through various human resource programs employees will have

opportunities for personal growth, professional development, and

upward mobility potential.

3. DIRECTIVES AFFECTED

a. Directive Rescinded

PS 3000.01 Personnel Manual (10/1/84)

b. Directives Referenced

PS 3420.08 Standards of Employee Conduct (3/7/96)

PS 3451.03 Awards Programs, Incentive Awards, Bureau of

Prisons (5/10/94)

PS 3713.19 Affirmative Action Program (11/4/96)

PS 3906.16 Employee Development Manual (3/21/97)

PS 4400.03 Property Management Manual (2/27/96)

PS 5300.19 Volunteers and Citizen Participation Programs

(6/30/97)

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Page 2

DOJ Order 1315.1 Probationary Period for Supervisors and

Managers

DOJ Order 1411.2A Upward Mobility

DOJ Order 1430.3A Performance Management System (PMS) for

General Schedule and Prevailing Rate

Employees

DOJ Order 1511.1B Position Classification Appeals

DOJ Order 1511.4B Consultation on Significant Position

Classification

DOJ Order 1630.1D Leave Administration

DOJ Order 1752.1A Discipline and Adverse Actions

DOJ Order 2120.6C Report Employee Time and Attendance

DOJ Order 2710.8 Removal and Maintenance of Documents

Title 5, United States Code

Federal Travel Regulations

Civilian Personnel Law Manual Title 2, Chapter 5.E

Title 4, Chapter 2.D.

c. Rules referenced in this Program Statement are contained in

5 CFR.

4. STANDARDS REFERENCED

a. American Correctional Association 2nd Edition Standards for

Administration of Correctional Agencies: 2-CO-2B-04, 2-CO-1C-01,

2-CO-1C-02, 2-CO-1C-03, 2-CO-1C-04, 2-CO-1C-05, 2-CO-1C-06,

2-CO-1C-07, 2-CO-1C-08, 2-CO-1C-09, 2-CO-1C-09-1, 2-CO-1C-10,

2-CO-1C-11, 2-CO-1C-12, 2-CO-1C-13, 2-CO-1C-14, 2-CO-1C-15,

2-CO-1C-16, 2-CO-1C-17, 2-CO-1C-18, 2-CO-1C-19, 2-CO-1C-20,

2-CO-1C-21, 2-CO-1C-22, 2-CO-1C-23, 2-CO-1C-24, 2-CO-1C-25.

b. American Correctional Association 3rd Edition Standards for

Adult Correctional Institutions: 3-4006, 3-4007, 3-4008, 4-4009,

3-4010, 3-4011, 3-4012, 3-4024, 3-4040, 3-4048, 3-4049, 3-4050,

3-4051, 3-4052, 3-4053, 3-4053-1, 3-4054, 3-4054-1, 3-4055,

3-4056, 3-4057, 3-4058, 3-4059, 3-4060, 3-4061, 3-4062, 3-4063,

3-4064, 3-4065, 3-4066, 3-4067, 3-4068, 3-4069, 3-4334.

c. American Correctional Association 3rd Edition Standards for

Adult Local Detention Facilities: 3-ALDF-1A-04, 3-ALDF-1A-05,

3ALDF-1A-06, 3-ALDF-1A-07, 3-ALDF-1A-08, 3-ALDF-1A-09,

3-ALDF-1A-10, 3-ALDF-1A-11, 3-ALDF-1A-12, 3-ALDF-1A-13,

3-ALDF-1A-21, 3-ALDF-1C-01, 3-ALDF-1C-02, 3-ALDF-1C-03,

3-ALDF-1C-04, 3-ALDF-1C-05, 3-ALDF-1C-06, 3-ALDF-1C-07,

3-ALDF-1C-07-1, 3-ALDF-1C-07-2, 3-ALDF-1C-08, 3-ALDF-1C-09,

3-ALDF-1C-10, 3-ALDF-1C-11, 3-ALDF-1C-12, 3-ALDF-1C-13,

3-ALDF-1C-14, 3-ALDF-1C-15, 3-ALDF-1C-16, 3-ALDF-1C-17,

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3-ALDF-1C-18, 3-ALDF-1C-19, 3-ALDF-1C-20, 3-ALDF-1C-21,

3-ALDF-1C-22, 3-ALDF-1C-23, 3-ALDF-1C-24, 3-ALDF-1C-25.

d. Standards for Adult Correctional Boot Camp Programs:

1-ABC-1A-06, 1-ABC-1A-07, 1-ABC-1A-08, 1-ABC-1A-11, 1-ABC-1A-12,

1-ABC-1B-14, 1-ABC-1C-01, 1-ABC-1C-02, 1-ABC-1C-03, 1-ABC-1C-04,

1-ABC-1C-04-1, 1-ABC-1C-06, 1-ABC-1C-07, 1-ABC-1C-08,

1-ABC-1C-09, 1-ABC-1C-10, 1-ABC-1C-11, 1-ABC-1C-12, 1-ABC-1C-13,

1-ABC-1C-14, 1-ABC-1C-15, 1-ABC-1C-16, 1-ABC-1C-17, 1-ABC-1C-19,

1-ABC-1C-20, 1-ABC-1C-22, 1-ABC-1C-23, 1-ABC-5B-08, 1-ABC-4E-09,

1-ABC-1G-01, 1-ABC-1G-02, 1-ABC-1G-03, 1-ABC-1G-04, 1-ABC-1G-06,

1-ABC-1G-07.

5. DISTRIBUTION. This Manual is available on BOPDOCS CDROM as

an electronic publication.

/s/

Kathleen Hawk Sawyer

Director

P3000.03

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Table of Contents, Page i

TABLE OF CONTENTS

Section Title Page

Chapter 1 - Introduction

171.1 Human Resource Management Manual

Organization and Use.. . . . . . . . . . . . . 1-1

Chapter 2 - General Personnel Provisions

250.1 Delegation of Authority, Personnel

Management ..................2-1

293.1 Personnel Records and Files.. . . . . . . . . . . . 2-7

293.2 Removal of Official Documents.. . . . . . . . . . . 2-8

294.1 Availability of Official Personnel

Information................. 2-8

295.1 Bureau of Prisons Credentials,

Identification Cards and Retirees'

Identification Cards.. . . . . . . . . . . . 2-11

Chapter 3 - Employment

300.1 Employee Voluntary Services.. . . . . . . . . . . . 3-1

308.1 Youth and Student Employment. . . . . . . . . . . . 3-1

308.2 Services of Volunteers. . . . . . . . . . . . . . . 3-4

310.1 Employment of Relatives.. . . . . . . . . . . . . . 3-7

310.2 Employment of Ex-Felons at BOP. . . . . . . . . . . 3-7

312.1 Workforce Utilization.. . . . . . . . . . . . . . . 3-8

312.2 Staff Vacancy Rate. . . . . . . . . . . . . . . . 3-11

315.1 Probationary Period for Supervisors

and Managers................. 3-12

330.1 Employment Interviews.. . . . . . . . . . . . . . 3-13

330.2 Employment of Medical and Dental

Officers................... 3-16

330.3 Acknowledgment of Requirement to

Maintain a Telephone.. . . . . . . . . . . . 3-17

332.1 Recruitment and Selection Through

Competitive Examination. . . . . . . . . . . 3-18

* 335.1 Merit Promotion Plan. . . . . . . . . . . . . . . 3-22

335.3 Management Selection System.. . . . . . . . . . . 3-38

335.4 Open-Continuous Announcement System.. . . . . . . 3-42

335.5 Priority Placement and Referral System. . . . . . 3-43

335.6 Details for Training for Trades and

Crafts Positions.. . . . . . . . . . . . . . 3-46

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Section Title Page

335.7 Reference Checking. . . . . . . . . . . . . . . .

3-48

338.1 Qualification Standards for Administrative

Positions.................. 3-51

338.2 Modifying Qualification Standards for

Inservice Placement. . . . . . . . . . . . . 3-52

338.3 Job Element Examining Plan for Trades and

Labor Positions. . . . . . . . . . . . . . . 3-54

338.4 Pass/Fail System for Introduction to

Correctional Techniques. . . . . . . . . . . 3-58

338.5 Appointment Above the Minimum Rate Based

on Superior Qualifications.. . . . . . . . . 3-60

338.6 Maximum Entry Age for Law Enforcement

Positions.................. 3-63

338.7 Non-citizens................... 3-65

339.1 Physical Requirements for Institution

Positions.................. 3-67

339.3 Recruitment and Relocation Bonuses and Retention

Allowances. . . . . . . . . . . . . . . . 3-69

340.1 Student Loan Repayment. . . . . . . . . . . . .

Chapter 4 - Employee Performance and Utilization

410.1 Training Agreements.. . . . . . . . . . . . . . . . 4-1

430.1 Performance Appraisal Program for Bargaining

Unit Employees.................4-1

430.2 Performance Appraisal Program for Non-

Bargaining Unit Employees. . . . . . . . . . 4-19

430.3 Performance Appraisal Program for Senior

Executive Service. . . . . . . . . . . . . . 4-38

Chapter 5 - Position Classification, Pay and Allowances

500.1 Organization Charts and Functional Statements.. . . 5-1

511.1 Position Classification.. . . . . . . . . . . . . . 5-1

511.2 Position Descriptions.. . . . . . . . . . . . . . . 5-5

550.1 Compensatory Time.. . . . . . . . . . . . . . . . . 5-7

572.1 Travel and Transportation for Interviews

and Recruitment................5-9

Chapter 6 - Attendance and Leave

600.1 Electronic Time and Attendance Reporting. . . . . . 6-1

610.1 Institution Shift Starting and Stopping Times.. . . 6-5

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Section Title Page

630.1 Administrative Leave in Conjunction With

Relocation...................6-8

630.2 Restoration of Annual Leave.. . . . . . . . . . . . 6-9

630.3 Voluntary Leave Transfer Program. . . . . . . . . 6-10

630.4 Leave for Maternity Purposes. . . . . . . . . . . 6-18

630.5 Home Leave.................... 6-20

640.1 Compressed Work Schedules.. . . . . . . . . . . . 6-21

Chapter 7 - Personnel Relations and Services

711.1 Labor-Management and Employee Relations.. . . . . . 7-1

711.2 Processing Grievances and Unfair Labor

Practices...................7-1

711.3 Employee Job Action Contingency Plan. . . . . . . . 7-2

713.1 Equal Employment Opportunity and

Affirmative Action.. . . . . . . . . . . . . . 7-2

713.2 Upward Mobility Program.. . . . . . . . . . . . . . 7-2

715.1 Exit Interview/Survey Program.. . . . . . . . . . . 7-6

731.1 Personnel Security, Suitability and

Investigation Program. . . . . . . . . . . . . 7-6

731.2 Contract Security.. . . . . . . . . . . . . . . . 7-43

731.3 Urinalysis Testing for Employment.. . . . . . . . 7-50

750.1 Processing Discipline and Adverse Actions.. . . . 7-52

771.1 Agency Grievance Procedure. . . . . . . . . . . . 7-536

Chapter 8 - Insurance and Annuities

810.1 Worker's Compensation.. . . . . . . . . . . . . . . 8-1

831.1 Federal Prison Retirees Association.. . . . . . . . 8-1

875.1 Public Safety Officers' Benefits Program. . . . . . 8-1

880.1 Procedures in the Event of Staff Deaths.. . . . . . 8-4

Chapter 9 - General and Miscellaneous

990.1 Staff Uniforms and Uniform Allowances . . . . . . . . .

. . . . . . . . . . . . . . . . . . . . . . . . . . . 9-1

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Table of Contents, Page iv

HUMAN RESOURCE MANAGEMENT MANUAL

LISTING OF ATTACHMENTS

ATTACHMENT TITLE

2-1 RESERVED

2-2 FILING AND DISPOSITION OF FORMS AND DOCUMENTS USED

EXCLUSIVELY BY THE BUREAU OF PRISONS

2-3 DOCUMENT REMOVAL CERTIFICATION

3-1 VOLUNTEER SERVICE AGREEMENT

3-2 PANEL INTERVIEW WRITING SAMPLE (WITH VIDEO)

3-3 INSTRUCTIONS FOR ADMINISTERING THE PANEL INTERVIEW

3-4 PANEL INTERVIEW INDIVIDUAL RATING FORM

3-4a PANEL INTERVIEW ASSESSMENT FORM

3-4b PRE-EMPLOYMENT INTERVIEW WRITING SAMPLE

3-4c SAMPLE QUESTIONS FOR INTERVIEW PANELS

3-4d DATA FORM FOR PRE-EMPLOYMENT SCREENING PROCESS

3-5 APPLICANT NOTIFICATION OF FEDERAL BUREAU OF PRISONS

REQUIREMENT TO MAINTAIN A TELEPHONE

3-6 REQUEST AND JUSTIFICATION FOR SELECTIVE FACTORS AND

QUALITY RANKING FACTORS

3-7 INQUIRY OF AVAILABILITY

3-8 RECORD OF VERBAL DECLINATION

3-9 SAMPLE OF NATIONWIDE VACANCY ANNOUNCEMENT

3-10 NIC RETIREMENT COVERAGE CERTIFICATION

3-11 RESERVED

3-12 RATING PANEL SCORING INSTRUCTIONS

3-13 MERIT PROMOTION RANKING FORM

3-14 SCORING INSTRUCTIONS FOR PROMOTION BOARDS (ASSOCIATE

WARDEN)

3-15 SCORING INSTRUCTIONS FOR PROMOTION BOARDS (WARDEN)

3-16 RESERVED

3-17 TRAINING AGREEMENT

3-18 NOTIFICATION OF TRAINING REQUIREMENTS

3-19 REQUEST FOR APPROVAL OF APPOINTMENT ABOVE THE MINIMUM

RATE

3-20 ABOVE THE MINIMUM RATE CHECKLIST

3-21 STANDARD MOBILITY STATEMENT

3-22 RECRUITMENT BONUS SUMMARY CHART

3-23 RETENTION ALLOWANCE SUMMARY CHART

3-24 REQUEST FOR RECRUITMENT BONUS

3-25 RECRUITMENT BONUS AGREEMENT

3-26 REQUEST FOR RETENTION ALLOWANCE

3-27 CONFIDENTIAL REFERENCE CHECK

3-28 REQUEST FOR RELOCATION BONUS

3-29 RELOCATION BONUS AGREEMENT

3-30 RELOCATION BONUS SUMMARY CHART

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ATTACHMENT TITLE

3-31 REQUEST FOR STUDENT LOAN REPAYMENT

3-32 STUDENT LOAN REPAYMENT AGREEMENT

3-33 STUDENT LOAN REPAYMENT CHART

4-1 TRAINING AGREEMENT FOR PHYSICIAN ASSISTANT

4-2 PERFORMANCE LOG

5-1 LANGUAGE FOR PRIMARY LAW ENFORCEMENT POSITIONS

5-2 LANGUAGE FOR SECONDARY LAW ENFORCEMENT POSITIONS

5-3 CREATING AND RECORDING MASTER RECORD NUMBERS

APPENDIX 1 - CLASSIFYING OFFICE AND TYPE OF POSITION

APPENDIX 2 - PROGRAM AREA CODES

6-1 REQUEST FOR RESTORATION OF FORFEITED ANNUAL LEAVE

6-2 CHECKLIST FOR RESTORATION OF FORFEITED ANNUAL LEAVE

6-3 REQUEST FOR APPROVAL AS A RECIPIENT - VOLUNTARY LEAVE

TRANSFER PROGRAM

6-4 REQUEST FOR APPROVAL AS A DONOR - VOLUNTARY LEAVE

TRANSFER PROGRAM

6-4a REQUEST TO DONATE ANNUAL LEAVE TO LEAVE RECIPIENT

(OUTSIDE AGENCY) UNDER THE LEAVE TRANSFER PROGRAM

6-5 ADDITIONAL TOUR OF OVERSEAS DUTY FOR HOME LEAVE

ENTITLEMENT

6-6 MINIMUM REPORT REQUIREMENTS

6-7 TIMEKEEPER INFORMATION SHEET

6-8 COMPRESSED WORK SCHEDULE REQUEST SAMPLE

6-9 LOCAL UNION PRESIDENT AGREEMENT MEMORANDUM

6-10 COMPRESSED WORK SCHEDULE MEMORANDUM OF UNDERSTANDING

6-11 SUPERVISORY PRE-IMPLEMENTATION QUESTIONNAIRE

6-12 SIX MONTH SUPERVISORY ASSESSMENT OF COMPRESSED WORK

SCHEDULE

7-1 CONFIDENTIAL EXIT SURVEY FOR SEPARATING EMPLOYEES

7-2 CONFIDENTIAL EXIT INTERVIEW REPORT FOR INTERVIEWING

OFFICIAL

7-3 SENSITIVITY DETERMINATION CHART

7-4 NOTICE TO APPLICANT

7-5 AUTHORITY FOR RELEASE OF INFORMATION

7-6 VOUCHERING FORM

7-7 LAW ENFORCEMENT AGENCY CHECKS

7-8 CERTIFICATION OF INITIATION OF BACKGROUND INVESTIGATION

7-9 SAMPLE REQUEST FOR BACKGROUND INVESTIGATION UPDATE

7-10 WAIVER OF SUBJECT INTERVIEW

7-11 AGREEMENT TO SUBJECT INTERVIEW

7-12 SAMPLE NOTICE TO EMPLOYEE - BACKGROUND INVESTIGATION

ISSUES

7-13 NOTICE OF RIGHTS TO (APPLICANT OR SUBJECT)

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ATTACHMENT TITLE

7-14 SAMPLE INTERROGATORIES

7-15 SAMPLE CERTIFICATION OF RESPONSE TO INTERROGATORIES

7-16 CONTRACTOR PRE-EMPLOYMENT FORM

7-17 STATEMENT OF REGISTRATION STATUS

8-1 APPLICATION FOR FEDERAL PRISON RETIREES ASSOCIATION

9-1 STAFF UNIFORM ALLOWANCES

9-2 AUTHORIZED STAFF UNIFORMS

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Chapter 1, Page 1

CHAPTER 1

171.1 HUMAN RESOURCE MANAGEMENT MANUAL ORGANIZATION AND USE

The Human Resource Management Manual is organized by sections and

chapters, numbered to coincide with the subject-matter

classification and numbering system of the Federal Personnel

Manual.

The material in this manual supplements the laws, regulations and

instructions in Title 5, United States Code, 5 CFR, the Federal

Personnel Manual and Department of Justice Orders. Users are

cautioned not to rely on this manual as the sole source of

information and guidance. References are provided at the

beginning of most chapters to guide the user to additional

sources of information.

The Bureau Personnel Director is responsible for maintaining and

updating this manual. Changes will be coordinated and published

through the Bureau of Prisons directives distribution system as

change notices.

Employees have access to any and all information in this manual

and may have copies of any portions of it.

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Chapter 2, Page 1

CHAPTER 2

250.1 DELEGATION OF AUTHORITY, PERSONNEL MANAGEMENT

1. PURPOSE AND SCOPE. To redelegate the Director's authority on

management of human resources (HR).

2. DIRECTIVES AFFECTED

Directives Referenced

5 U.S.C. Chapter 51

DOJ HR Order 1200.1

3. DELEGATIONS. The Director delegates through the Assistant

Director, Human Resource Management Division (HRMD), to the

respective Chief Executive Officer (CEO), the authority to take

action on the appointment, direction, and general administration

of personnel.

a. Classification and Selection Authority. For purposes of

position classification, all positions will be classified into

one of the following categories: Standardized, Exception to

Standardized, or Unique.

!The Standardized category includes the most common

positions within the Bureau. A single position

description (PD) is used for all like positions

nationwide.

!The Exception to Standardized category includes

positions identified as Standardized that have been

approved at a grade other than the standardized grade.

!The Unique category includes few of a kind positions

not included in the Standardized or Exception to

Standardized category.

The following chart designates the appropriate level of

classification and selection authorities.

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Chapter 2, Page 2

DELEGATION OF

SELECTION AND CLASSIFICATION

AUTHORITIES

Classification of STANDARDIZED positions at all grade levels is delegated to

PPM.

IAs to STANDARDIZED positions require approval of an SF-52 by the delegated

levels listed below.

Classification of EXCEPTIONS TO STANDARDIZED positions are approved by the

next higher level of classification authority listed below.

Classification of UNIQUE positions are approved according to the delegations

listed below.

Senior Executive Service (SES) PPM D

GS-13 and above (except medical and dental officer, attorney,

law clerk, law student)

PPM D

Trainee positions controlled by Central Office PPM AD

FWS and GS-12 and below located in Regional Offices HRA RD

Institution department head and assistant department head at

and below GS-12/FWS equivalent (including UNICOR)

Department head selection after consultation with the

appropriate Assistant Director - To be included: employee

development manager, case management coordinator,

psychologist, chaplain, correctional supervisor (including

special investigative agent), and general foreman

Selection for the following UNICOR field positions at the

GS-12 level and below: factory manager, assistant factory

manager, general foreman (or lead foreman supervising staff),

industrial manager, industrial specialist, business

manager/plant controller, quality assurance manager, and

computer specialist

HRA RD

GS-12 and below engineer, architect, regional communication

specialist, community programs manager, B&F, paralegal, and

computer specialist

Selection after consultation with the appropriate Assistant

Director

HRA RD

Ensure all classification for activating institutions

(including UNICOR) is completed

HRA n/a

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Chapter 2, Page 3

Selection for all UNICOR positions at an activating factory

until initially filled

n/a AD

Central Office (including NIC) GS-12 and below, FWS, and

medical and dental officer

HRM AD

GS-11 and below in staff training centers HRM STC

Dir

GS-12 at staff training centers HRM AD

HRMD

Institution FWS and GS (including UNICOR) below the assistant

department head level (excluding those designated under

regional director’s authority)

HRM CEO

Institution medical and dental officer (consultation with

Assistant Director prior to selection of clinical director)

HRM CEO

Attorney, law clerk, and law student OARM OGC

-or-

OARM

Ex-felon n/a D

LEGEND: AD...... Assistant Director (includes Director of the

National Institute of Corrections (NIC), and

Senior Deputy Assistant Director, Program

Review Division or their designees)

CEO...... Institution Chief Executive Officer

D........ Director, Federal Bureau of Prisons

DOJ...... Department of Justice

HRA...... Regional Human Resource Administrator

HRM...... Institution or servicing Human Resource

Manager

OARM..... Office of Attorney Recruitment and Management

OGC...... Office of General Counsel

PPM...... Pay and Position Management Section

RD....... Regional Director

STC Dir.. Staff Training Center Director

* The Director retains selection authority and final approval for

the following:

(1) Promotion and Reassignment Selections for specific

management positions. For promotion and reassignment

to the GS-13 level and above for Camp Administrator,

Jail Administrator, Executive Assistant, Special

Assistant, Superintendent of Industry, Associate

Warden, Warden, Branch Chief, GS-15 level

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Chapter 2, Page 4

Administrator, STC Director, Deputy Regional Director,

and Deputy Assistant Director, the full Executive Staff

must concur with the potential selection, and the

Director must approve the selection.

(2) Promotion and Reassignment Selections for other

positions. For promotions and reassignments to other

GS-13 and above positions, the selecting Regional or

Assistant Director must obtain the concurrence of the

selectee's Regional or Assistant Director. When the

Regional Director is the selecting official, the

concurrence of the Assistant Director over the

discipline to be filled must be obtained. Final

approval rests with the Director.

Reassignments of Associate Wardens between program areas

(e.g., operations to programs) do not require Executive Staff

involvement since the individual is remaining at the same

location. *

S i g n a t o r y a u thority for selections made through the Management

Selection System is delegated to the Assistant Director, HRMD.

For all other GS-13 and above positions when the Director retains

selection authority, the appropriate Regional or Assistant

Director may sign the promotion board documents upon the

Director’s concurrence.

(3) Classification of UNICOR Positions. Any change in the

classification of a UNICOR position requires the approval of the

Assistant Director, IE&VT. The appropriate paperwork is to be

sent directly to the personnel liaison component of the UNICOR

Central Office Support Division for the signature.

b. Miscellaneous

(1) SES Personnel Actions. The Director must approve

personnel actions up to the ES-4 level involving SES members,

candidates, or positions. DOJ maintains approval authority for

personnel actions at the ES-5 and ES-6 level. DOJ must approve

awards, bonuses, and any increase two levels or more. The

Workforce Planning Administrator, HRMD will prepare SF-52s.

(2) Attorney, Law Clerk, and Law Student Personnel Actions.

Personnel actions involving attorneys, law clerks, and law

students require final approval from OGC or by OARM, depending on

the action. OGC will initiate all attorney personnel actions

(i.e., employee actions), with final approval by the Assistant

Director, OGC and OARM, as necessary.

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Chapter 2, Page 5

Attorney personnel actions requiring OGC approval include

promotions, transfers, selected voluntary reassignments, and

conversion to full-time or part-time employment. Adverse actions

involving suspensions of 14 days or less for non-SES attorneys

require approval from the Assistant Director, OGC. Suspensions

beyond 14 days require OARM approval. After OGC approval, the

SF-52s will be returned to the servicing HR office for

processing.

The servicing HR office will maintain the Official Personnel

File (OPF) for attorney, law clerk, and law student positions.

The same rules and regulations regarding the protection and

maintenance of OPFs will apply.

HRMs should consult with OGC, as necessary, on HR issues

involving attorneys and paralegals.

(3) Statement of Difference. A statement of difference for

all GS positions may be established and abolished, as necessary,

at the location where the position exists. It is not mandatory

to process a personnel action to establish a statement of

difference.

(4) Supervisor’s Certification. Supervisor’s Certification

for all Standardized positions is the Assistant Directors’

responsibility.

(5) SF-52s. Origination of SF-52s to establish all

positions is the responsibility of the servicing HR office where

the position exists.

The Assistant Director, HRMD, has final approval authority

for the positions classified by PPM, however, signatory authority

is delegated to the Bureau Personnel Director.

Preparing the SF-52 for Selections:

CThe appropriate divisions will initiate the SF-52

for all positions in the Central Office, including

Central Office controlled trainee positions.

CHR staff at staff training centers will initiate

SF-52s for training center positions.

CUNICOR will ensure SF-52s for UNICOR positions are

initiated at the appropriate level.

CRegional HR staff will initiate the SF-52s for

personnel actions for positions falling within the

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Chapter 2, Page 6

regional director’s delegated authority, as well

as for all GS-13 and GS-14 level positions falling

within their regions. SF-52s resulting from the

Management Selection System (Warden and Associate

Warden) are excluded and will be prepared by the

Staffing Section.

CInstitution HR staff will initiate SF-52s for

positions falling within the CEO’s delegated

authority.

CThe Staffing Section will prepare SF-52s for all

Warden and Associate Warden selections the

Executive Staff make. The SF-52 for all other

promotion and selection actions will be prepared

by either the regional HR office, or in the

Central Office, by the specific division affected

by the action.

(6) Annual Position Review. PPM will ensure annual

position reviews are conducted for Standardized positions.

Annual position reviews for Unique and Exceptions to Standardized

positions will be conducted at the location where the position

exists. If only minor changes are made as a result of the

position review, the position does not need to be reclassified

and issued a new master record number (MRN).

The reviewer will document the review on the bottom of the

PD cover sheet. If a PD needs to be rewritten, final

classification action will be taken at the delegated level of

authority.

(7) Leave. The immediate supervisor has authority to

approve annual leave and sick leave. For advanced annual leave,

advanced sick leave and periods of leave without pay (LWOP) less

than 52 weeks, the Warden (for institution employees), Regional

Director (for regional office employees) and appropriate branch

chief (for Central Office employees) retains approval authority.

All LWOP requests for attorneys require approval from the

Regional Counsel or Associate General Counsel, as appropriate,

after consultation with OGC or designee.

The Director retains approval authority for consecutive

periods of LWOP of 52 calendar weeks or more.

(8) Hours of Work. Assistant Directors, Regional Directors

and Wardens have the authority to modify the basic work week to

meet the needs of the service within their organizational levels.

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The authority to approve compressed work schedules is

delegated to the local level with OGC performing a legal and

technical review.

(9) Disciplinary and Adverse Actions. Assistant Directors,

Regional Directors, and Wardens have the authority to take

disciplinary and adverse actions against subordinate employees in

their organizations. Normally, the deciding official should be

at least two supervisory levels above the employee. Variations

to fit unique circumstances are permitted and nothing in this

section precludes the deciding official being at a higher level

than specified.

(10) Supervisory Pay Differentials. HRMs have the

authority to approve Supervisory Pay Differentials.

(11) Special Salary Rate as Highest Previous Rate (HPR).

The Bureau Personnel Director has the authority to approve using

the special rates authorized by 5 U.S.C. § 5305 as HPR for

voluntary reassignments to non-special rate positions within the

same agency, or to a position with a lower special rate.

(12) Grade and Pay Retention. The Director has the

authority to approve non-mandatory grade and pay retention

request.

293.1 PERSONNEL RECORDS AND FILES

1. PURPOSE AND SCOPE. To communicate regulations and

instructions for establishment, maintenance and disposition of

the Official Personnel Folder (OPF) and the Employee Performance

File (EPF) which are contained in the current Federal Personnel

Manual (FPM) Supplement on record keeping. In addition to the

OPF and EPF, HRM offices will establish and maintain an

individual Payroll File for each employee for whom it maintains

an OPF. Other personnel records and files include the security

file (see section 731.1) and disciplinary and adverse action

files (see section 750.1). Filing and disposition of forms and

documents used exclusively by the Bureau of Prisons are listed in

Attachment 2-2.

2. DIRECTIVES AFFECTED

Directive Referenced

FPM Supplement 293.31

3. LOCATION. Each HRM office will maintain the OPF, EPF and

Payroll File for each employee it services, including Chief

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Executive Officers.

4. TRANSFER OF FILES WITHIN THE BUREAU OF PRISONS. When an

employee moves from one institution or office within the Bureau

of Prisons to another, the losing HRM office will gather and

forward to the gaining HRM office the OPF, EPF, Payroll file and

medical file as soon as possible after the effective date of the

move. It is not necessary for the gaining office to request the

files from the losing office via a copy of the SF-50.

5. USE OF INMATES WITH EMPLOYEE RECORDS. No inmate may maintain

or process any forms or records pertaining to employees. This

restriction includes, but is not limited to, time and attendance

reports, training records, travel authorizations and vouchers and

work-related injury reports. Each function which requires

handling such records must be performed by a civilian employee of

the Bureau of Prisons.

293.2 REMOVAL OF OFFICIAL DOCUMENTS

1. PURPOSE AND SCOPE. To establish document removal procedures

for separating and/or relocating employees. Department of

Justice procedures require all employees who are separating from

the Department of Justice to complete and sign a documents

removal certification. In addition, employees who are relocating

to another BOP facility must complete and sign a similar

certification.

2. DIRECTIVE AFFECTED

Directive Referenced

DOJ Order 2710.8 Removal and Maintenance of Documents

3. PROCEDURE. Attachment 2-3, Department of Justice Document

Removal Certification, is a combined documents removal

certification for employees leaving the Department of Justice,

relocating within the Bureau of Prisons, or transferring to

another organization within the Department of Justice. HRM

offices will ensure that employees complete the appropriate part

of the form during their clearance process. The form may be

reproduced locally.

294.1 AVAILABILITY OF OFFICIAL PERSONNEL INFORMATION

1. PURPOSE AND SCOPE. Subject to the provisions of this chapter

and policy and regulations of the Office of Personnel Management,

the Bureau of Prisons shall make personnel information available

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to its employees, Federal officials and the public.

2. DIRECTIVES AFFECTED

Directives Referenced

a. FPM Chapter 294.1.

b. 5 CFR 297.402

c. 5 CFR 297.301

3. CUSTODIANS OF PERSONNEL RECORDS. Human Resource Managers at

all levels of the organization are designated as the official

custodians of personnel records pertaining to the employees for

whom they provide human resource management services. They are

responsible for safeguarding such records to prevent their

unauthorized disclosure and for making determinations in

accordance with this chapter and FPM issuances as to the

propriety of release of personnel information.

4. TIME AND PLACE WHERE INFORMATION MAY BE OBTAINED. Normally,

custodians of personnel records will make information available

during regular business hours on regular business days.

5. RESPONSE TO SUBPOENAS. Designated custodians of personnel

records will be guided by the FPM and 5 CFR 297.402 in responding

to a subpoena for personnel records under their control.

Questionable cases may be referred to the Office of Legal Counsel

for guidance. Institution and Regional Office HRMs may refer

questionable cases to their respective Regional Counsel.

6. EMPLOYEE ACCESS TO INFORMATION. Employees, former employees

and their representatives designated in writing, may review their

personnel records in the servicing HRM office.

7. SENSITIVE PERSONNEL INFORMATION. Any document which has an

individual's name and social security number in combination is

regarded as "DOJ Sensitive" and must be physically safeguarded

against unauthorized use and disclosure.

8. INFORMATION AVAILABLE TO THE PUBLIC. The following

information is in the public domain and may be released without

the employee's authorization:

a. Name

b. Present title, series, grade, salary, duty station

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c. Past titles, series, grades, salaries, duty stations

d. Position description, and

e. Performance standards (not performance rating)

Note that employee's home addresses and telephone numbers

are not public information and may not be made available to

the public. One exception to this provision is that an

employee's home address may be furnished to a police or

court official upon receipt of a proper request stating that

the employee is involved in a nonsupport or criminal offense

and the home address is needed for service of legal process.

9. INFORMATION WHICH MAY BE RELEASED WITH THE EMPLOYEE'S

CONSENT. Information concerning performance, attendance, conduct

or work quality of an employee or former employee may be released

with the signed written consent of the employee or former

employee. Any such information provided must be specific,

factual and well-documented by the records. HRM officials and

others who receive inquiries must be careful not to offer

unsubstantiated opinions or comments.

The employee's consent is not required to provide this

information when the information is subpoenaed or court-ordered.

In addition, applying for a position is implied consent from the

employee to release information.

10. RESTRICTED INFORMATION. Information about pre-employment

interview results, arrest records or any phase of pre-employment

screening or background investigations should not be disclosed to

anyone except Bureau of Prisons, Department of Justice or Office

of Personnel Management officials involved in making suitability

or qualifications determinations, or conducting an official

investigation. Disclosure of such information within the Bureau

of Prisons is restricted to those who need to know the

information in order to perform their official duties.

11. INFORMATION CONCERNING EMPLOYEE TERMINATION. Information

concerning former employees who were terminated or removed from

their position is particularly sensitive. Release of such

information, even with the written consent of the former

employee, must be specific, factual and well-supported by the

records. Because they have limited appeal rights and, therefore,

little chance to refute the allegations against them, and because

the reason for termination is not normally documented in the

Official Personnel Folder, the reason for probationary employees'

terminations should not be disclosed outside the Bureau of

Prisons.

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Occasionally, the Bureau of Prisons agrees to resolve an adverse

action appeal by accepting the employee's resignation in lieu of

removal and agreeing to provide "neutral" vouchering to

prospective employers. HRM officials responding to requests for

information in these cases must be especially mindful of these

agreements and ensure that the terms of the agreement are met.

HRM officials should caution supervisors and others who may

receive inquiries in these cases to refer all inquiries to the

HRM office for response.

12. QUESTIONS AND COMPLAINTS. Employees who believe their

personnel records contain inaccurate information should attempt

to resolve the discrepancies with their servicing HRM office. If

the matter is not resolved at that level, it may be referred to

the Regional HRM and the Bureau Personnel Director. Requests for

correction of records will be handled in accordance with 5 CFR

297.301.

Complaints or appeals regarding the disclosure or withholding of

personnel information may be referred to the Bureau Personnel

Director or may be processed under the appropriate grievance

procedure.

295.1 BUREAU OF PRISONS' CREDENTIALS, IDENTIFICATION CARDS

AND RETIREES' IDENTIFICATION CARDS

1. PURPOSE AND SCOPE. To establish policy and procedures for

issuance and control of personnel identification cards for Bureau

employees.

2. CREDENTIALS

a. Federal Bureau of Prisons' credentials consist of a wallet

style holder with two pockets containing a name/title card in the

upper pocket and a picture/signature card in the lower pocket.

b. Credentials shall be issued to:

#Central and Regional Office employees, GS-12 and above;

#Institution department heads;

#Staff Training Center employees GS-12 and above;

#Community Corrections Managers, including CCM trainees;

* #Upon request, any employee having at least five years

of service with the Bureau; and *

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#Any Public Health Service (PHS) employee who meets one

or more of the above conditions.

3. IDENTIFICATION CARDS. Federal Bureau of Prisons'

identification cards are the wallet size BP-370. An

identification card will be issued to each employee (including

PHS) not eligible to receive a Bureau credential. Employees who

are issued a credential may, at their request, also be issued an

identification card.

4. RETIREMENT IDENTIFICATION CARDS. Retirement Identification

Cards will be issued to all employees upon retirement and to any

Bureau retiree upon request. The cards are issued in two parts:

one part contains the name, years of service and retirement date;

the second card contains the retiree's photo, last position title

and last duty station. When issued, the cards will be laminated

and placed in the wallet style holder which held the retiree's

credentials. The credential cards are then properly discarded.

5. ORDERING PROCEDURES. The Security and Background

Investigation Section (SBIS) shall annually supply credential and

identification cards to the regional HRM offices. Regional HRM

offices shall notify SBIS of their annual requirements by March

31 each year.

Regional HRM offices shall provide and issue credential and

identification cards to institution HRM offices as needed.

The Benefits, Awards, and Professional Development Section (BAPD)

shall order retirement identification cards on an as needed basis

and distribute them, as requested, to regional HRM offices.

6. CONTROL AND ACCOUNTABILITY. Credential picture/signature

cards and identification cards are numbered. SBIS shall maintain

accountability of cards issued to regional offices by logging the

numbers of the cards issued to each office. Similarly, regional

HRM offices shall document the numbers of cards supplied to their

institutions. Regional HRM offices shall type the initials of

their office (NERO, MARO, SERO, SCRO, NCRO or WRO) next to the

number on each picture/signature card before issuing it to an

institution or individual so that the issuing office can be

notified of the final disposition of the card.

Each HRM office shall maintain a log of credentials and

identification cards issued to individual employees. The log

shall include the card number, name and signature of the employee

to whom issued, date issued, final disposition (reported lost,

returned or destroyed) and date of final disposition. Credential

and identification cards and the log shall be stored in a secure

location to prevent unauthorized distribution.

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Retirement identification cards are not numbered but they should

be logged to record the date of issuance. The cards must also be

stored in a secure location to prevent unauthorized distribution.

7. PREPARATION OF CARDS. A photograph of the employee shall be

affixed to the credential or identification card. The photograph

must be of the employee's head and shoulders, in color, against a

light background and conform to the outline on the card.

Credential name/title cards, picture/signature cards,

identification cards and retirees' identification cards will be

laminated before issuance to the employee or retiree. The Bureau

Personnel Director is authorized to sign credential

picture/signature cards for Central Office staff. Regional Human

Resource Administrators are authorized to sign credential

* picture/signature cards for regional office staff. Human *

Resource Managers at all levels are authorized to sign credential

picture/signature cards and identification cards (BP-370) issued

at that location.

When a credentialed employee changes positions or duty stations,

only the name/title card must be reissued. The picture/signature

card may remain the same or, at the employee's request, be

reissued.

Employees are responsible for requesting new credentials or

identification cards to reflect changes in name, title or

appearance.

8. DISPOSITION OF CREDENTIALS AND IDENTIFICATION CARDS

a. Separation from the Bureau of Prisons. Upon an employee's

separation from the Bureau of Prisons, the local HRM office will

insure that the employee returns his/her credential and/or

identification card and will so annotate their log.

b. Relocation to Another BOP Facility. When an employee moves

from one BOP location to another, he/she retains the credential

and/or identification card. Upon arrival at the new location,

the new HRM office issues new identification, receives the old

one(s) and notifies the office which issued the old

identification that it has been destroyed.

c. Lost or Stolen Identification. Employees are responsible

for reporting lost or stolen identification to their servicing

HRM office no later than the next business day after they become

aware of it. Employees must provide as many details as possible

about the loss, including date and circumstances, if known.

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HRM offices will immediately notify the Chief of SBIS, of the

loss in writing, including the employee's name, social security

number, identification number and details regarding the loss.

The Chief of SBIS will transmit information on all lost or

stolen credentials and identification cards through the Sentry

electronic mail system. Front entrance officers and control room

officers have access to this information on Sentry so that they

can determine whether any unfamiliar identification has been

reported as lost or stolen.

9. USE OF CREDENTIALS AND IDENTIFICATION CARDS. Federal Bureau

of Prisons credentials, identification cards, government driver's

licenses or badges will not be used to coerce, intimidate or

deceive others or to obtain any privilege or article not

otherwise authorized in the performance of official duties. Only

credentials or identification issued by the Federal Bureau of

Prisons may be used by employees for official purposes.

Employees are not permitted to obtain or use identification

badges issued by other sources which give the appearance of being

an official Federal Bureau of Prisons or law enforcement

credential.

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CHAPTER 3

300.1 EMPLOYEE VOLUNTARY SERVICES

Employees will not be pressured to perform any services without

compensation; that is, employees will not be asked to perform

voluntary services under conditions which would make them feel

they must agree to do so. It is acceptable to post a general

notice to employees regarding volunteer opportunities and

instructions about whom to contact if an employee wishes to

volunteer; however, in no case will a public sign-up form be used

nor will employees be approached personally and asked to

volunteer. Volunteer work cannot be a continuation of the

employee's regular duties. No inappropriate references to

volunteer activities will be made on any documents used in

performance evaluation, merit promotion, or incentive awards.

308.1 YOUTH AND STUDENT EMPLOYMENT PROGRAMS

1. PURPOSE AND SCOPE. To communicate regulations and

instructions for youth and student employment programs. The

objectives of the student employment programs are to acquaint

students with career opportunities in the Federal Bureau of

Prisons; provide meaningful work experience directly related to

the student's academic field of study; develop positive

relationships between the Bureau of Prisons and academic

institutions; and develop long-range recruiting sources for

permanent employment.

2. DIRECTIVES AFFECTED

Directives Referenced

* a. 5 CFR 213.3202

b. 5 CFR 316.402

c. E.O. 12015

3. TYPES OF STUDENT EDUCATIONAL EMPLOYMENT PROGRAMS. Student

educational employment programs fall into two major categories:

the Student Temporary Program (which includes summer positions

and interns) and the Student Career Experience Program. It is

essential that Human Resource Managers understand the differences

in these types of student employment as the eligibility,

requirements, and terms of appointment vary.

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4. SUMMER EMPLOYMENT

Appointment Authority: 316.402(a).

Encompassed by the Student Temporary Employment Program, summer

employment is simply a temporary appointment which begins after

May 12 and ends before October 1. Summer employment positions

are not limited to students. Also, unlike other student

employment programs which are specifically designed to provide

academic-related work experience, summer employment positions may

be used to supplement the regular complement during periods of

absences. Summer employment positions may be funded and

distributed by Central Office through the Regional Offices, or be

funded and operated locally at the institutional level.

5. INTERN, 1040 HOUR APPOINTMENTS, GS-9 AND BELOW

Appointment Authority: Schedule B, 213.3202(a).

Individuals appointed under this authority must be enrolled or

accepted for enrollment at an accredited school in a degree-

seeking academic or vocational program, for at least a half-time

course load. Appointees in these positions may work up to 1040

hours per fiscal year, either full-time or part-time, as long as

the student's work schedule does not interfere with his/her

academic schedule. The school must submit an official letter

certifying the student's current enrollment.

6. INTERN, ONE YEAR TEMPORARY APPOINTMENT

Appointment Authority: Schedule B, 213.3202(a).

These are internships for professional positions, filled by

graduate students. In the Bureau of Prisons, these appointments

are used for Psychology Interns. The work must be used to meet

academic requirements toward a graduate degree. The college or

university must submit a letter signed by a school official

certifying the student's current enrollment.

7. CAREER EXPERIENCE

Appointment Authority: Schedule B, 213.3202(b).

The Career Experience Program involves a longer term relationship

between the student and the Bureau of Prisons than do

internships. The work must be directly related to the student's

major field of study. There must be a formal written agreement

between the Bureau of Prisons and the academic institution.

Career experience students are eligible for non-competitive

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conversion to a career-conditional appointment in a professional,

technical, or administrative position after successfully

completing their education and work experience.

a. Written Agreements. The Staffing Section will initiate and

the Bureau Personnel Director will sign agreements on behalf of

the Bureau of Prisons covering positions controlled and funded by

Central Office.

b. Eligibility. Students must be enrolled or accepted for

enrollment at an accredited school in a degree-seeking academic

or vocational program, and taking at least a half-time course

load. The academic institution must provide certification that

the student is enrolled. Students may be terminated from their

appointment at any time for any of the following reasons:

resignation; change to a curriculum which will not qualify the

student for the position; suspension, expulsion or withdrawal

from the educational institution; unsatisfactory work

performance; failure to maintain academic standards; physical

unfitness for duty; or inability of the agency for administrative

reasons to retain the student in the position.

c. Work Schedule. Students may be appointed at any time

during the year and a student's work schedule may be full-time or

part-time, as long as the student's work schedule does not

interfere with his/her academic schedule. Students must complete

a minimum of 640 hours of work to be eligible for non-competitive

conversion.

d. Completion of Work Period. Students are carried on the

rolls as employees during the entire period of their career

experience appointment. During periods when the student is

attending school full-time, the student is carried in Leave

Without Pay status. The supervisor must complete a performance

review appraisal at the three, six, and nine month intervals, and

a 12 month final performance appraisal.

8. BENEFITS. Travel and transportation expenses for relocation

will not be authorized for students. A participant in these

programs is eligible for health benefits and life insurance if

his/her appointment will exceed one year. Participation in the

retirement system is automatic if the appointment exceeds one

year. If the appointment is for less than one year and it is

unlikely the student will be eligible for conversion to a

permanent appointment, the student will be covered by FICA. A

student accrues leave based on his/her work schedule and in

accordance with applicable leave regulations for full- or part-

time employees.

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CONVERSION TO CAREER CONDITIONAL EMPLOYMENT

Career experience students may be converted non-competitively to

a career or career-conditional appointment to the target position

within 120 days following successful completion of their

educational and work experience requirements. Students must meet

the qualification standards for the position they are being

converted into and the position must be in the field, or in a

closely related field, for which the students were trained. *

All work hour requirements must be completed prior to graduation.

308.2 SERVICES OF VOLUNTEERS

1. PURPOSE AND SCOPE. The Federal Bureau of Prisons and/or any

of its facilities may, as appropriate, enter into agreements with

recognized educational institutions to provide opportunities for

students to obtain educationally related and meaningful work

experience consistent with the mission and needs of the Bureau of

Prisons, provided that in no circumstances will such services be

used to displace any employee or to staff any vacancy which is a

normal part of the workforce.

2. DIRECTIVES AFFECTED

Directives Referenced

a. Current FPM Supplement on NFC coding and keying

instructions for volunteers.

b. 5 USC 3111 (c) (1)

c. 28 USC Sections 2671 - 2680

3. DEFINITIONS

a. Volunteer or Voluntary Service. Service performed by a

student without compensation and with the agreement of the

educational institution at which the student is enrolled. Such

service may be accepted for an initial period not to exceed six

months on a full-time or substantially full-time basis.

Extensions may be authorized by the employing organization.

Additional periods of full-time service may be accepted for

similar periods of time, provided that subsequent service follows

at least a semester or equivalent of study in the educational

institution. This limitation does not apply to a student

simultaneously working and attending school on at least a half-

time basis.

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b. Student. An individual who is enrolled not less than half-

time in a high school, trade school, technical or vocational

institute, junior college, college, university or comparable

recognized educational institution. An individual is deemed not

to have stopped being a student during an interim between school

years if that interim period is not more than five months and if

the student demonstrates to the satisfaction of the appointing

officer that he or she has a firm intention of continuing to

pursue a course of study or training in the same or different

educational institution during the next school term.

c. Half-Time Student. A student enrolled in and carrying any

combination of courses, research projects or special studies

which meets one half of the minimum full-time academic workload

standards and practices of the educational institution in which

the student is enrolled. Written certification from the

educational institution may be accepted as proof of half-time

status if there is any doubt the student meets this requirement.

d. Recognized Educational Institution. An institution

accredited by an appropriate organization or an institution with

an accredited curriculum. This requirement is met when a public

or private secondary or vocational school is accredited by a

local board of education, a technical or professional association

or by any other recognized accrediting organization. The same

criteria apply to accreditation of institutions of higher

learning. Correspondence courses, courses being audited without

credit or short-term non-accredited programs are not acceptable.

Students must generally be enrolled in and attending the school

on a residential basis.

4. Agreements. Under the law, the permission of the educational

institution is prerequisite to the acceptance of voluntary

service. Accordingly, a written agreement will be entered into

between the employing organization and the educational

institution. The agreement should describe the relative

responsibilities of the school, the student and the employing

organization; the general nature and purpose of the work to be

assigned; whether or not such work is to be creditable for

educational purposes; any reports or evaluations required by the

school; a work schedule; the probable duration of the service and

some method of timekeeping. To comply with the law, the

agreement must stipulate that the service is with the permission

of the school; that it is limited by statute to a student

enrolled in school; that the service is without compensation; and

that the student is not considered to be a Federal employee.

Attachment 3-1 is a sample agreement which may be adopted for

local use.

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5. Student Eligibility and Status. Volunteer service must be in

accord with appropriate Federal, state and local laws regarding

the employment of minors. Normally, the minimum age is 18 years,

however, when all of the conditions for voluntary service as

stated in this section are met, the minimum age is 16 years. Any

employment certificates or work permits required by state or

local authority must be obtained. Students must be in good

standing academically and eligible to continue as an enrolled

student in their educational institution. A name a fingerprint

check and NCIC check are required before the student is accepted

for volunteer service. Students in this program are not

considered to be Federal employees other than for the purposes of

Title 5 USC, Chapter 81, related to workers' compensation, and

Title 28 USC, Sections 2671 through 2680, related to tort claims.

Volunteer service is creditable toward meeting qualification

requirements for competitive examining and, later, competitive or

non-competitive in-service placement. A student who has

participated in uncompensated volunteer service is subject to all

applicable Federal and agency employment regulations and

procedures upon future application for compensated employment.

Student volunteers should receive appropriate orientation to the

mission and operations of the Bureau of Prisons and the facility

to which assigned. Student volunteers do not attend Introduction

to Correctional Techniques.

6. Service Documentation. Although students in this program are

not Federal employees, their service is creditable for certain

purposes and they are covered by workers' compensation and the

Tort Claims Act. Accordingly, an Official Personnel Folder will

be established for each student and service will be documented by

generation of an SF-50 through NFC, in accordance with current

coding and keying instructions (FPM Supplement 296-33, Subchapter

33).

The position title will be "Student Volunteer". The nearest

appropriate classification series will be used when entering data

for pay plan and occupational code. Tenure group, service

computation date and salary are zero-filled. Position

descriptions are not required, however, each office should

formulate a position description number for student volunteers.

Academic level, academic discipline, duty station, gender,

race/ethnic background must be entered into NFC for reporting

purposes.

At a minimum, the following two remarks are required on the SF-50

documenting the appointment of a student volunteer:

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a. Expected to work (number) hours per week NTE (date).

b. Under 5 USC 3111, a student volunteer is not a Federal

employee for any purposes other than injury compensation and laws

related to the Tort Claims Act. Service is not creditable for

leave accrual or any employee benefits.

Since the student volunteer is not considered to be an

employee, an appointment affidavit is not executed.

310.1 EMPLOYMENT OF RELATIVES

1. PURPOSE AND SCOPE. To establish rules affecting the

employment of relatives.

2. DIRECTIVES AFFECTED

Directives Referenced

a. 5 USC 3110

b. 5 CFR 310.202

3. PROCEDURES. Section 3110 of Title 5, U.S. Code, states that

a public official may not employ, appoint, promote, advance nor

advocate the same for a relative. For most positions there is

enough discretion within the hiring process so that this is not a

problem. A few positions, however, such as the Warden, Associate

Wardens and the Human Resource Manager are by policy intimately

involved in the hiring process. Therefore, it is the policy of

the Federal Bureau of Prisons to prohibit the hiring of a

relative of a Warden, Associate Warden or Human Resource Manager

at the same institution. Also, as a general rule, close

relatives such as a husband or a wife will not be placed in a

direct supervisory position over the other. Regional Directors

are authorized to make an exception under extraordinary

circumstances as described in 5 CFR 310.202.

310.2 EMPLOYMENT OF EX-FELONS AT BOP

1. PURPOSE AND SCOPE. To identify criteria for the employment

of ex-felons.

2. DIRECTIVES AFFECTED

Directive Referenced

FPM, Chapter 731

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3. PROCEDURES. Ex-felons may be considered for employment only

after being granted the proper relief or Pardon. Under the Gun

Control Act of 1968 and the Omnibus Crime Control and Safe

Streets Act of 1968, ex-felons cannot have a firearm in their

possession and therefore cannot be considered for employment in a

law enforcement position without a Pardon or other proper relief

which must be documented and included as part of the application.

Applicants should be advised that if found qualified for the

position applied for, their application will be sent to the

Office of Personnel Management to be evaluated for suitability

(FPM Chapter 731). Background information will be evaluated

against the Bureau's security criteria. Only the Director of the

Federal Bureau of Prisons has the authority to approve the

appointment of any ex-felon to a position within the Bureau.

Appropriate conditions listed below must have been met.

FEDERAL OR STATE OFFENSES IN WHICH A FIREARM WAS NOT INVOLVED:

Ex-felons must receive a Pardon (Presidential or gubernatorial

respectively).

FEDERAL OFFENSES IN WHICH A FIREARM WAS INVOLVED: Only a

Presidential Pardon will give firearm disability relief.

STATE LEVEL OFFENSES IN WHICH A FIREARM WAS INVOLVED: Ex-felons

who have committed offenses at the State level involving a

firearm need a gubernatorial pardon or a pardon issued by another

state pardoning authority in order to be granted limited relief

(allowed to carry a firearm for duty purposes only). The pardon

must expressly authorize the recipient to carry the firearm.

In all instances, the pardon must expressly authorize the

recipient to carry a firearm.

Appointing officials considering an ex-felon for employment may

contact the Staffing Section in the Central Office for additional

information.

312.1 WORKFORCE UTILIZATION

1. PURPOSE AND SCOPE. To establish specific responsibilities

and activities to execute effective workforce utilization. It is

the policy of the Bureau of Prisons to distribute and use staff

and financial resources efficiently and effectively to accomplish

the missions and goals of the organization. Elements of

effective workforce utilization include planning and monitoring

the use of positions and salaries on a regular basis.

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2. DIRECTIVE AFFECTED.

Directive Referenced

P.S. 2100.1 Budget Manual (03/01/66).

3. RESPONSIBILITIES. Supervisors and managers at all levels are

responsible for effective workforce utilization through planning

and organizing work, developing work improvement methods and

procedures, training and developing employees and ensuring that

resources allocated to their organizational segments are used to

meet mission requirements cost effectively. In addition to these

general responsibilities, Human Resource Managers share

responsibility with Financial Managers for maintaining records

and data used by the Workforce Utilization Committee in making

recommendations to the Chief Executive Officer on staffing plans

and salary projections. Specific responsibilities and activities

of the Human Resource Manager include:

a. Assist supervisors and managers in workforce utilization

activities.

b. Maintain accurate statistics on historical turnover rates,

staffing patterns and known and anticipated vacancies.

c. Maintain accurate organization charts and position records,

including current reconciliation and position management reports.

d. Maintain accurate data on personnel actions which affect

salary and provide information to the Financial Manager for use

in salary projections.

e. Carry out cyclical classification reviews to ensure that

positions are fully utilized and accurately classified.

f. Prepare SF-52's for reprogramming requests.

4. WORKFORCE UTILIZATION COMMITTEES. The Salary Subcommittee,

established by P. S. 2100.1 and the Workforce Utilization

Committee will function as one committee. Chief Executive

Officers will appoint members to the committee in accordance with

the provisions of P. S. 2100.1. The functions of the committee

at each level of the organization are:

a. Institution Committees

(1) At the beginning of the fiscal year, formulate a

staffing plan for the fiscal year, based on allotted

positions and budget, historical turnover data, known

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and anticipated vacancies, anticipated workload and/or

mission changes. The annual staffing plan should be

reviewed and revised by the committee throughout the

year as changes occur which will affect the

institution's staffing situation.

(2) Review departmental rosters to determine whether

positions and salary funds, including overtime, are

efficiently utilized.

(3) Review findings of program reviews, operational

reviews, and other management indicators to identify

workforce needs, especially those which may have a

negative effect on the efficiency of programs.

(4) Recommend actions to eliminate anticipated deficits or

to use anticipated surpluses.

(5) Recommend actions designed to increase the effective

use of resources such as consolidation of functions,

reorganization, greater use of technology, and similar

activities.

b. Regional Committees

(1) Develop workforce impact assessments for expansion,

renovation or changes in mission of existing

institutions.

(2) Develop workforce plans and proposals for new

institutions.

(3) Review institution staffing guidelines and current

authorized complements. Make recommendations regarding

the distribution of new positions based on staffing

guidelines, program review reports, operational review

reports, strategic planning goals and other management

indicators.

(4) Review institution workforce utilization committee

meeting minutes and the activities of institution

committees.

5. POSITION MANAGEMENT AND CONTROL. Responsibility for

maintaining accurate position records is shared between the Human

Resource Manager and the Financial Manager. Specific procedures

are outlined in P. S. 2000.1 and are summarized in this section

as a convenience to HRM's.

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a. By the 25th day of each month, the Financial Manager will

generate a position reconciliation report for all budget

activities (S&E, Trust Fund, B&F and UNICOR) and give it to the

HRM.

b. If there are no differences reflected in the reconciliation

report, the Financial Manager and HRM will sign the report,

certifying that it is in balance and accurately reflects the

authorized positions.

c. If the report reflects differences, the HRM will provide

the Financial Manager with the correct PZ coding to add or delete

positions to reflect the authorized complement. Changes will be

supported by SF-52's which abolish, establish or reprogram

positions. Changes will be given to the Financial Manager so

that they can be keyed and the report balanced by the last day of

the month.

d. HRM's are responsible for providing Financial Management

with PZ coding changes whenever the classification of a position

changes, whether or not decision unit totals are affected.

e. HRM's will establish and maintain position management files

containing copies of position reconciliation reports, PZ changes

and supporting SF-52's.

f. The OCCD dictionary includes all of the current PZ codes

which will be accepted by the system. Financial Management staff

at each location have access to the dictionary through FMIS and

are capable of printing it at any time. It is suggested the HRM

ask the Financial Manager for a current dictionary quarterly.

The Pay and Position Management Section will establish new codes

as needed and upon request of the Regional HRM offices.

Institutions should request new codes through their Regional HRM,

however, before requesting additions to the dictionary, check the

current dictionary through FMIS to determine whether the needed

code has already been added.

312.2 STAFF VACANCY RATE

1. PURPOSE AND SCOPE. It is Bureau policy that the vacancy rate

of staff positions that work directly with inmates shall not

exceed 10 percent during any 18 month period. Vacancies that are

kept open by legislative or fiscal controls imposed from outside

the institution will not be considered in computing the vacancy

rate. If unusual conditions cause an excessive number of

vacancies, the Chief Executive Officer will document the reasons

and notify the Regional Director in writing of the number of

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vacancies compared to authorized positions and the potential

impact on institutional operations.

* Chief Executive Officers at non-institutional locations shall

exercise individual discretion based on workload requirements and

funding levels in determining positions to be filled.

2. REASSIGNMENTS. Employees may be reassigned from one position

to another position of the same grade level, based on the needs

of the service. Among such reasons for reassignment include:

a. Expediting the filling of critical vacancies.

b. Meeting special skill needs of a position.

c. Matching individual talents and position needs.

d. Broadening the experience of an employee.

315.1 PROBATIONARY PERIOD FOR SUPERVISORS AND MANAGERS

1. PURPOSE AND SCOPE. To describe the requirements for new

supervisors, managers, and Senior Executive Service staff.

2. DIRECTIVES AFFECTED

Directive Referenced

DOJ Order 1315.1 Probationary Period for Supervisors and

Managers

3. PROBATIONARY PERIODS. Supervisors and Managers who do not

perform satisfactorily during their probationary period will be

returned to their former (or comparable) position and pay without

right of appeal. The SF-50 placing an employee in one of these

positions will include a remark noting that the individual is

serving the probationary period.

a. Supervisor. Upon initial appointment into a supervisory

position, an employee is required to complete a one-year

probationary period. A position is supervisory if it meets the

definition of a supervisor as described in the General Schedule

Supervisory Guide.

b. Manager. In addition to the supervisory probationary

period, newly appointed managers must also serve a probationary

period. A managerial position is one which meets or exceeds the

definition of managerial in the General Schedule Supervisory

Guide.

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c. Senior Executive Service. A one year probationary period

must be served by all initial career appointees before

appointment for SES becomes finalized.

330.1 EMPLOYMENT INTERVIEWS

1. PURPOSE AND SCOPE. To describe the objectives and procedures

for conducting pre-employment panel interviews. Such interviews

are only one phase of the total evaluation of an applicant's

qualifications and suitability for employment in the Bureau of

Prisons. Section 731.1 of this Manual describes in detail other

pre-employment procedures which are designed to determine an

applicant's suitability for employment. The procedures described

in this section are to be accomplished in conjunction with the

procedures in Section 731.1.

2. COVERAGE. The procedures in this section apply to applicants

for any type of appointment which is expected to exceed six

months.

3. EMPLOYEE SCREENING. One of the objectives of the Federal

Bureau of Prisons is the care, custody and motivation toward

correction of an often unwilling and hostile clientele. The

influence of staff on the achievement of these goals cannot be

overstated. Studies such as the Institution Character Profiles

and Prison Social Climate Surveys, as well as other management

indicators, demonstrate the direct relationship between staff

competence, morale, attitudes and perceptions and the effective

operations of our facilities. For these reasons, the careful

screening and evaluation of prospective employees contributes to

a competent and effective work force and reduces the possibility

of selecting employees who do not demonstrate the knowledge,

skills, abilities and personal characteristics appropriate for

work in a correctional organization.

The purpose of the panel interview is to evaluate the applicant's

qualifications and other characteristics necessary for the

position. Other phases of the pre-employment process, such as

the suitability interview, vouchering, and records checks are

designed to evaluate the applicant's suitability for employment

to a sensitive position. Areas to be evaluated during the panel

interview include: knowledge, skills, and abilities needed for

the position; general correctional work abilities; and writing

skill. The procedures that follow are minimum requirements.

4. PROCEDURES

A. Institution Positions

(1) Prior to the panel interview, applicants will be asked

to write a report discussing a videotaped correctional

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work scenario on Attachment 3-2. The applicant will

only be allowed to view the video once. The report

will be used by the panel in evaluating the applicant's

ability to effectively use data in writing clear,

concise and understandable reports.

* (2) A panel interview will be conducted following the

individual suitability interview described in Section

731.1. Interview panels will consist of a trained HRM

employee, one manager (e.g. Associate Warden,

department head), and one psychologist or staff member

who is capable of evaluating an applicant’s suitability

for the stressful rigors of employment in a

correctional setting. All panel members must complete

panel interview training prior to participating in a

panel interview. *

While participating in a panel interview, psychologists

should conduct themselves in an ethically and legally

defensible manner, should model appropriate interview

behavior for other panel members, should use their

unique skills and clinical judgment in arriving at a

fair assessment, and should be aware of the limits of

predicting job fitness. Additionally, psychologists

shall ensure that no questions are asked regarding

physical or mental health history as prohibited by the

Rehabilitation Act of 1973. For example, do not ask

applicant if s(he) has ever been or is currently being

treated for mental and/or emotional disorders.

(3) Panel interviews will be conducted according to the

"Instructions for Administering the Panel Interview"

(Attachment 3-3). Panel members will ask questions

designed to elicit information from the applicant about

his/her knowledge, skills, abilities, and other

personal characteristics related to the position being

filled, as well as general correctional work abilities.

The standardized Correctional Work Situation Questions

presented to the applicant are confidential. Staff

requiring a copy of the Correctional Work Situation

Questions should contact the Human Resources Research

and Development Office, Central Office.

Panel members need not ask the applicant about topics

that are covered during the suitability interview

because those results will be considered along with the

results of the panel interview and other background

checks. Also, panel members shall only ask questions

which are related to the specific vacancy and are non-

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discriminatory. For example, questions regarding

national or ethnic origin, the ability to do

correctional shift work because of child care

situations, or questions regarding a disability shall

not be asked.

(4) Following the panel interview, each panel member will

complete the Panel Interview Individual Rating Form

which corresponds to the correctional work situation

questions used in the interview (Attachment 3-4). The

HRM staff member will then complete the Panel Interview

Assessment Form (Attachment 3-4a). The recommendation

for appointment of the applicant will be partially

based on the panel's acceptability determination.

(5) The servicing HRM may allow a panel interview to be

conducted at another institution, the Central Office or

any Regional Office. All panel interviews conducted

shall follow the procedures in this Paragraph A.

However, panel interviews held at the Central or any

Regional Office, shall consist of four trained members

who are familiar with the requirements of the position

to be filled and who have demonstrated skill in

interviewing, even though they may not represent the

four disciplines stated in this Paragraph A.

B. Central Office, Regional Office, Staff Training Center and

Community Corrections Positions

(1) Prior to the panel interview, applicants will be asked

to write a brief narrative response to the questions in

Attachment 3-4b. The panel will use the responses to

evaluate the applicant's writing skills; however, they

may not be used as the sole reason for not selecting an

applicant.

(2) A panel interview will be conducted following the

individual suitability interview described in Section

731.1. Interview panels will consist of at least two

people who are familiar with the requirements of the

position to be filled and have demonstrated skill in

interviewing. If possible an HRM staff member will be

a member of the interview panel. Interview panels for

Central and Regional Offices will consist of a minimum

of one manager and an HRM staff representative.

(3) Panel members will ask questions designed to elicit

information from the applicant about their past

employment, knowledge, skills and abilities for the

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position being filled and such personal characteristics

as may be important to the position. Attachment 3-4c

is a list of sample questions which may be helpful to

panel members. Panel members need not question the

applicant about topics that are covered during the

individual suitability interview because the results of

that interview will be considered along with the

results of the panel interview and other background

checks. Also, panel members shall ask questions which

are related to the position being filled and are non-

discriminatory. For example, questions regarding

national or ethnic origin, the ability to do

correctional shift work because of child care

situations, or questions regarding a disability shall

not be asked.

(4) Following the panel interview, each panel member will

complete the Pre-employment Interview Summary (BP-17).

The recommendation for appointment of the applicant

will be based, in part, on the panel interview. *

(5) Alternately, the servicing HRM may elect to have a

panel interview conducted at a nearby institution in

which case all of the procedures in Paragraph A apply.

5. REPORTING REQUIREMENTS. To assess the efficiency of each

stage of the pre-employment process, the Data Form for Pre-

employment Screening Process (Attachment 3-4d) is to be completed

for each applicant administered the pre-employment screening

process. Forward completed forms to the Human Resource Research

and Development Office in the Central Office.

330.2 EMPLOYMENT OF MEDICAL AND DENTAL OFFICERS

1. PURPOSE AND SCOPE. Assignment of physicians and dentists

from the Commissioned Corps of the U.S. Public Health Service is

coordinated by the Assistant Director, Health Services Division

(Medical Director). Appointment of physicians and dentists from

competitive registers is delegated to Chief Executive Officers.

Failure to communicate and coordinate the recruitment and

placement of physicians and dentists among the local, regional

and national levels can result in delays in filling vacancies and

inability to provide a high level of professional medical care

for inmates. This section outlines procedures designed to

effectively coordinate the staffing of medical and dental officer

positions.

2. IDENTIFICATION OF VACANCIES. Chief Executive Officers are

responsible for forecasting and identifying medical and dental

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officer vacancies and for notifying the Medical Director of

anticipated vacancies. The Medical Director and CEO will decide

jointly whether to recruit a PHS Commissioned Officer or a civil

service employee or whether to recruit from both sources

simultaneously. The decision will be based on the needs of the

institution, the time available to locate a replacement, the

availability of Commissioned Officers and the availability of

candidates on registers.

3. RECRUITMENT. Recruitment of medical and dental officers is

an on-going responsibility of administrators at all levels of the

organization.

a. PHS Recruitment. The Health Services Division is

responsible for recruiting PHS Commissioned Officers for

assignment to Bureau of Prisons facilities. Division

representatives will apprise the CEO of their activities and

progress.

b. OPM Registers. After consultation with the Medical

Director, CEO's will notify the institution HRM of the decision

to recruit through competitive registers. For Medical Officers,

institution HRM's will prepare the Request for Referral of

Eligibles (SF-39) and attachments and forward it to the Examining

Section. For Dental Officers, the Request for Referral of

Eligibles (SF-39) and attachments must be sent to the Office of

Personnel Management.

Upon receipt of a certificate, the institution HRM will send

copies of the SF-171's for all eligibles to the Medical Director.

After reviewing the applications, the Medical Director will

contact the CEO to discuss any concerns or additional information

to be obtained during the interviews. The HRM will initiate the

standard procedures for contacting, interviewing, and vouchering

applicants.

After the applicants have been interviewed and other pre-

employment requirements have been met, the CEO will contact the

Medical Director to review the proposed selection. The CEO is

delegated the authority to select medical and dental officers

from registers only after consultation and concurrence with the

Medical Director.

330.3 ACKNOWLEDGEMENT OF REQUIREMENT TO MAINTAIN A TELEPHONE

1. PURPOSE AND SCOPE. All employees of the Federal Bureau of

Prisons are required by the standards of employee conduct and

responsibility to be responsive to the needs of the institution

during routine operations, as well as during times of emergency.

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Frequently, it is necessary for supervisors to contact employees

when they are off duty concerning official business.

2. PROCEDURES. HRM offices will notify applicants at the time

of the interview that, as a condition of employment, they will be

required to have and maintain a telephone at their residence and

that they are required to keep the institution informed of their

current telephone number throughout their employment with the

Bureau of Prisons. Applicants will acknowledge this requirement

in writing on the form in Attachment 3-5.

332.1 RECRUITMENT AND SELECTION THROUGH COMPETITIVE

EXAMINATION

1. PURPOSE AND SCOPE. To establish procedures for the Federal

Bureau of Prisons Examining Section.

2. DIRECTIVE AFFECTED

Directive Referenced

Current FPM Chapter on Recruitment and Selection Through

Competitive Examination.

3. FEDERAL BUREAU OF PRISONS EXAMINING SECTION PROCEDURES

a. Procedures for Submitting a Request

(1) Ensure the SF-39 includes a statement that the Bureau's

Priority Placement List has been checked and there are

no qualified candidates available to consider.

(2) Ensure the SF-39 includes a statement that the Bureau's

Reemployment Priority List, (same listing as the

Priority Placement and Referral System (PPRS) List

issued by DOJ) has been checked and there are no

qualified candidates available to consider. The PPRS

List is located on the last page of Career

Opportunities.

(3) Ensure the SF-39 includes the statement regarding

P.L. 100-238, maximum entry age, if applicable.

(4) Ensure that SF-39A (Justification for Selective

Certification) is attached to all SF-39 requests for

bilingual and/or female certificates. (See Attachment

3-6)

b. Procedures for Working a Certificate

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(1) Indicate "NFC" (no further consideration) only for NS-3

applicants and only if you do not want them certified

to your location in the future.

(2) Show entry on duty dates for all selected applicants.

(3) Indicate the reason for not filling the number of

vacancies on the request if other applicants are

available below your last selection.

(4) If you are in the process of working a certificate and

a supplemental list of eligibles is required to fill

your vacancies (due to declinations, failures to reply,

etc.), submit a new SF-39 showing the same certificate

number as the original and indicate supplement by

adding S-1 to the certificate number.

(5) Arrange certificates in the proper order before

returning them to the Examining Section.

(6) Arrange applications in the same order as the names

appear on the certificate.

(7) Arrange OF-5's in the same order as the names appear on

the certificate and paper clip them together in one

batch. Submit an OF-5 for every applicant contacted.

Staple verbal declinations and written declinations on

top of the corresponding OF-5.

(8) Staple objections and supporting documentation to the

corresponding application.

(9) Ensure the HRM has signed and dated the SF-39 before

returning it to the Examining Section. Do not use the

"further certification desired" block on the SF-39 you

are returning. Submit a new SF-39 if you need another

certificate.

(10) Return certificates within the time allowed. Human

Resource Offices are allowed thirty days to work a

certificate. If additional time is needed, notify the

Examining Unit before the expiration date and request

an extension.

c. Amendments. An amendment must be submitted promptly

whenever a change is made in the action previously taken and

reported on an applicant appearing on a list of eligibles.

Amendments must be typed in memo format and reflect the following

information:

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(1) Applicant's name,

(2) Certificate number, and

(3) Revised action code

(a) Attach documentation to support the revised

action, e.g. verbal or written declination.

(b) When amending a certificate to change any action

code to NS, submit an amended list of eligibles to

show how the applicant can be legally nonselected

using the rule of three.

reported as selected.

d. Objections

(1) Use the SF-62 for all objections and the appropriate

objection statement forms as attachments to the SF-62.

(2) Submit complete documentation to support the reasons

for the objection. Applicable documents include copies

of interview results, vouchering letters, arrest

records, SF-86, etc. depending upon the reasons for the

objection.

(3) Attach the application to the objection form.

(4) If objecting to a CPS applicant, include a copy of the

letter to the applicant notifying him/her of the

objection.

(5) Medical Disqualifications: Preference Eligibles-

submit objection and copy of applicant notification

letter. Non-Preference Eligibles-Do NOT submit an

objection. Document action code "RM" (Removed/Medical)

next to the medically disqualified applicant's name on

the List of Eligibles and send supporting medical

documentation and a copy of the applicant notification

letter to the Examining Section with the certificate.

4. ACTING AND REPORTING ON CERTIFICATES OF ELIGIBLES. The

following information is provided as guidance in acting on

Certificates of Eligibles. General instructions are contained in

FPM Chapter 332, Subchapter 4 and Appendix B.

a. When initially contacting eligibles, use of personal

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letters, and telephone calls is likely to encourage and attract

well-qualified candidates. Current information such as nature of

duties, location, salary and type of appointment should be

included in your communication. An OF-5, Inquiry as to

Availability form (Attachment 3-7) may be used to initially

contact individuals being considered for BOP employment.

b. Allow eligibles a reasonable period of time in which to

make their decision as to availability and to inform you.

Regular mail inquiries in the local commuting area should have a

return deadline of a minimum of ten days, or more, depending on

USPS and internal office delivery conditions and intervening non-

work days.

For distances over 1000 miles, allow at least 15 days.

You can expect responses within five days to telephone calls in

which you invite the applicant to call.

Replies received after the requested response date will be

considered as being on time if the selection process has not

progressed to a point where consideration would unduly delay your

action.

Reasons for declinations must be documented and returned with

the certificate since this information may affect further

consideration for the applicant. Telephone/verbal declinations

must include the reasons for declining, the date and the name of

the person receiving the declination. The Examining Section may

contact eligibles to verify reported declinations or failures to

reply. Verbal declinations will be reported on the form in

Attachment 3-8.

c. Guidelines for scheduling selection interviews are

contained in FPM Chapter 332, Appendix I. Travel for a selection

interview should be kept to a minimum and generally should not

exceed a 75-125 mile radius.

d. Principles of open competition are best served when the

selecting official gives consideration to all of the highest

three available eligibles. The presence of a "name request"

candidate within the top three does not mean that the other

eligibles should not receive any consideration. For example, the

selecting official should be made aware of other available

eligibles and, at a minimum, review their applications.

e. Once selections have been made, notify the nonselected

applicants who were previously contacted and stated they were

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available. This courtesy has a positive impact on the Federal

Bureau of Prisons' image as an employer.

f. Return the certificate as soon as selections have been

made. Do not wait for the selectee(s) to enter on duty.

g. Provide a reasonable period of time for a selected person

to report for duty. Usually, a minimum of two weeks should be

allowed for local residents. At least one month should usually

be allowed for selectees who must relocate.

* 335.1 MERIT PROMOTION PLAN

1. PURPOSE AND SCOPE. This section prescribes the procedures to

be used to implement federal merit promotion policy.

2. DIRECTIVES AFFECTED

Directives Referenced

a. DOJ Order 1335.1B

b. 5 U.S.C. § 3307

c. 5 CFR 335

3. PROGRAM OBJECTIVES. This Merit Promotion Plan is designed

to:

a. Provide an effective, fair method of evaluating and

selecting employees for promotion and for selecting employees for

training programs that may lead to promotion.

b. Give selecting officials a choice from among the best

qualified candidates.

c. Ensure that consideration is given to each qualified

applicant without regard to political, religious, or labor

organization affiliation or non-affiliation, marital status,

race, color, sex, sexual orientation, national origin,

nondisqualifying physical disability, or age.

The Attorney General has established the date which

immediately precedes an individual's 37th birthday as

the maximum age for initial entry into a primary law

enforcement position.

d. Establish procedures for evaluating candidates for

promotion.

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e. Provide incentive for self-improvement of employees.

f. Provide training, career counseling and assistance to

employees which will enable them to make the best use of their

capabilities and take full advantage of promotional

opportunities.

g. Establish clear procedures for operation of the merit

promotion program.

4. COVERAGE. This plan applies to the promotion of any federal

competitive service employee in the Bureau. It also covers the

following placement actions:

a. Filling a position with known promotion potential by

reassignment, promotion, transfer, change to lower grade, detail,

or reinstatement; e.g., apprentice, initial positions in a career

ladder, trainee positions filled below the established or

anticipated grade.

b. Selections for details of more than 120 days to a higher

graded position or to a position with known promotion potential.

c. Reinstatement of employees to positions at a higher grade

or with more promotion potential than a position previously held

by the candidate on a permanent basis in the competitive service.

d. Transfer of employees to positions at a higher grade or

with more promotion potential than a position previously held by

the candidate on a permanent basis in the competitive service.

e. Time limited promotions for more than 120 days to a higher

graded position.

f. Selections for training required for promotion.

5. EXCLUSIONS. This plan does not cover any other type of

placement action such as reassignment, selections from Office of

Personnel Management (OPM), Special Examining Unit (SEU) or

Delegated Examining Unit (DEU) certificates of eligibles, other

permissible internal actions contained in the DOJ CTAP

regulations, or any other placement action not specifically

covered in Paragraph 4.

6. EXCEPTIONS. These actions may be made without merit

promotion competition under any of the following circumstances:

a. Promotion of an employee who occupies a position with known

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promotion potential and the initial selection for the position

was made under competitive procedures or from an OPM, SEU or DEU

certificate. Examples of such positions include career-ladder

positions, apprentice, trainee or understudy positions or

positions covered by an OPM-approved training agreement.

b. Promotion when an employee's position is reclassified at a

higher grade as a result of accretion of new duties and

responsibilities or to correct an error in position

classification.

c. Reinstatement, transfer, promotion, demotion, or detail of

an employee to a position having promotion potential no greater

than that of a position currently or previously held on a

permanent basis under a career or career-conditional appointment;

and the employee was not demoted or separated from that grade due

to deficiencies in performance or “for cause” reasons.

d. Promotion occurring during a reduction-in-force when a

slightly higher pay rate is attained, resulting technically in a

promotion.

e. Corrective action taken under this plan or other existing

appeal procedures.

f. In order to comply with provisions of the DOJ CTAP,

temporary promotion of 120 days or less.

g. Detail to a higher graded position of 120 days or less.

h. Promotion of employees who are within reach on an OPM, SEU

or DEU certificate of eligibles.

* 7. AREA OF CONSIDERATION. The area of consideration for filling

any position covered by this plan is the geographical area in

which an intensive search is made to locate eligible candidates.

When determining the area of consideration for a vacancy

announcement, careful assessment must be made of the availability

of likely candidates. To ensure fair and equitable treatment of

all job applicants, only those individuals inside the area of

consideration will be considered for the vacancy.

a. Minimum Area of Consideration. The minimum area of

consideration is the local commuting area or geographic area in

which it is expected that sufficient best-qualified applicants

will be located to fill the position. No minimum area of

consideration may be smaller than the local commuting area and

must include all BOP Career Transition Assistance Plan (CTAP)

eligible surplus or displaced employees. The announcing office

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will initially circulate vacancy announcements throughout the

minimum area of consideration.

For positions at grade level GS-14 and above, the minimum area

of consideration is Department-wide unless an exception is

granted by the Bureau Personnel Director’s authority. *

b. Outside Applicants. If appropriate, qualified applicants

who are eligible for transfer or reinstatement from outside the

Bureau of Prisons will receive the same consideration as

candidates from within the Bureau of Prisons.

c. Reannouncement. The reannouncement of advertised vacancies

may occur when the selecting official deems it necessary. Among

the acceptable reasons for reannouncements are:

A desire to broaden the applicant pool.

Interest in expanding the grade levels of staff

eligible to compete for the vacancy.

Enlarging the area of consideration for the vacancy.

Compensating for administrative error.

8. METHOD OF LOCATING CANDIDATES. The primary method of

locating candidates is through a one-time vacancy announcement

which must be distributed at least throughout the minimum area of

consideration. One copy of local announcements for bargaining

unit positions will be forwarded to the local union president.

Nothing in this plan is to be construed as limiting supervisors'

rights and obligations to counsel and encourage employees to

apply for announced vacancies.

9. VACANCY ANNOUNCEMENT REQUIREMENTS. The Human Resource

Management Office, under the jurisdiction of the selecting

official, will prepare and circulate vacancy announcements. All

nationwide announcements will be distributed by electronic mail.

See Attachment 3-9 for an example of a vacancy

announcement.

Except for omnibus announcements for new institutions described

below, vacancy announcements, at a minimum, must include the

following information:

a. Announcement number. (except DOJ announcements)

b. Number of vacancies.

c. Opening date.

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d. Title, series, grade, and salary range of the position.

e. Location of the position.

f. Closing date for acceptance of applications. The closing

date must be at least 15 working days after the issue date.

Applications must be received at the facility of the announcing

office by the closing date.

g. Brief statement of the duties of the position.

h. Brief statement of the qualification standards for the

position, clearly stating the requirements of the position.

i. If qualification standards are modified under the

provisions of the General Policies and Instructions for the

Operating Manual of Qualification Standards for General Schedule

Positions, a brief description of the modified standards must be

included in the announcement.

j. Quality ranking factors or selective placement factors, if

any.

k. Knowledge, Skills, and Abilities (KSAs) required by the

position, along with identification numbers. The identification

number corresponds to the Supplemental Application Form (SAF) and

will appear next to each KSA on the announcement. If positions

are announced at multiple grade levels, a separate list of KSA's

will be required for each grade level, unless two or more grade

levels have identical KSAs.

l. If the position has known promotion potential, a statement

to that effect including the potential grade.

m. Application procedures, including forms to be submitted.

* n. A statement indicating whether travel and transportation

are authorized.

CLocal vacancy announcements will be advertised without

travel and transportation reimbursement.

CNationwide announcements may exclude travel and

transportation reimbursement if/when management

determines a sufficient number of applicants exist

within the local area. *

o. A statement indicating whether the position is included in

or excluded from the bargaining unit.

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p. If the position is a secondary law enforcement position, a

statement that individuals selected who are under the Federal

Employees Retirement System (FERS) and who have not had three

years "primary" law enforcement retirement coverage, will not be

covered by law enforcement retirement while in this position. To

regain coverage, individuals must return to a position with

"primary" coverage. Affected applicants must sign an

acknowledgment statement (Attachment 3-10).

q. If the position is with the National Institute of

Corrections (NIC), or is a non-institution clerical or

administrative support position (one-grade interval) [Exception:

963 Series, Legal Instruments Examining], a statement that

employees who transfer to these positions will lose law

enforcement coverage and will need to return to a position with

"primary" law enforcement coverage to regain coverage. An

acknowledgment statement must be signed by applicants

(Attachment 3-10).

r. For positions that require mobility (i.e. trainee

positions), it must be stated in the announcement and applicants

must complete a mobility statement (Attachment 3-21).

s. If the position to be filled is located within a Bureau

institution, all applicants not currently working in an

institution will be required to complete a qualification inquiry

regarding convictions of misdemeanor crimes of domestic violence.

t. If the announcement will be distributed outside the Bureau,

the following statements will be included if the position is

located within an institution:

In accordance with 5 U.S.C. § 3307, the maximum entry

age of 36 has been established for initial appointment

to a position in a Bureau of Prisons institution;

Initial appointment to a position in a Bureau

institution is subject to satisfactory completion of

the Introduction to Correctional Techniques course at

Glynco, Georgia;

u. Applicants for initial appointment to a position in the

Bureau of Prisons are subject to a urinalysis test for drug

detection.

v. All applicants will be instructed to submit their

applications directly to the announcing office.

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w. A statement detailing the requirement of successful

completion of a supervisory/managerial probation period, if it

is a requirement for the position.

x. A statement indicating eligible external applicants must

meet all application criteria and conditions of employment (i.e.,

submit all required documentation, age requirement, pre-

employment interview, panel interview, physical, reference

checking, etc.).

y. If applicable, a statement identifying the position as

test-designated and subject to urinalysis testing under the BOP

Drug Free Workplace Plan.

Exception. To expedite staffing of new institutions,

omnibus vacancy announcements covering more than one

position may be issued. Such announcements must include

the:

 announcement number;

 number of vacancies;

 position titles, series, grades, and salary ranges;

 opening date;

 closing date; and

 relevant KSAs.

Statements of duties and qualifications requirements are

omitted from omnibus announcements and interested applicants

are instructed to contact the announcing office for

additional information.

10. PROCEDURES FOR LISTING VACANCY ANNOUNCEMENTS WITH DOJ & OPM

a. Procedures for Vacancies Normally Filled From Within the

Bureau. Many positions are normally filled by current Bureau

staff (i.e. unit manager, counselor, inmate systems officer,

etc.).

For these positions, a statement must be included on the

vacancy announcement indicating the area of consideration to be

used. The minimum area shall be Bureau employees. These vacancy

announcements do not generally have to be listed with DOJ or OPM.

However, to limit the minimum area to Bureau employees, Human

Resource Offices must verify and document (via SF-52 remarks)

that no CTAP eligibles exist within the local commuting area of

the vacancy before an announcement is issued.

The following remarks shall be included on these vacancy

announcements:

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AREA OF CONSIDERATION: BOP-WIDE

SELECTION WILL BE MADE WITHOUT DISCRIMINATION FOR ANY NON-

MERIT REASON SUCH AS RACE, COLOR, RELIGION, SEX, SEXUAL

ORIENTATION, NATIONAL ORIGIN, AGE, PHYSICAL DISABILITY,

MARITAL STATUS OR MEMBERSHIP IN AN EMPLOYEE ORGANIZATION.

If a Human Resource Office establishes that CTAP eligibles

exist within a local commuting area, the minimum area of

consideration will be DOJ-Wide Plus Eligible DOJ Surplus and

Displaced Employees in the Local Commuting Area and the vacancy

must be listed on the DOJ Career Opportunities Bulletin Board,

but does not have to be listed with OPM.

b. Procedures for Vacancies Normally Open to Outside Sources.

For positions normally filled from outside sources, the vacancy

announcement must be listed on the DOJ Career Opportunities

Bulletin Board and on OPM's Federal Job Opportunity Bulletin

Board (FJOB). The following remarks will be included on these

vacancy announcements:

AREA OF CONSIDERATION: GOVERNMENT-WIDE PLUS ELIGIBLE

SURPLUS AND DISPLACED FEDERAL EMPLOYEES IN THE LOCAL

COMMUTING AREA.

COMPETITIVE STATUS IS NOT REQUIRED IF THE PERSON SELECTED IS

A DISABLED INDIVIDUAL WHO IS ELIGIBLE FOR APPOINTMENT UNDER

SCHEDULE A OF THE EXCEPTED SERVICE, OR IS A VETERAN WHO IS

ELIGIBLE FOR APPOINTMENT UNDER THE VETERANS READJUSTMENT

APPOINTMENT AUTHORITY, OR THE DIRECT-HIRE AUTHORITY TO

APPOINT VETERANS WITH SERVICE-CONNECTED DISABILITIES OF 30%

OR MORE. APPROPRIATE DOCUMENTATION TO SUPPORT THIS CLAIM

FOR ELIGIBILITY WILL BE REQUIRED. SELECTION WILL BE MADE

WITHOUT DISCRIMINATION FOR ANY NON-MERIT REASON SUCH AS

RACE, COLOR, RELIGION, SEX, SEXUAL ORIENTATION, NATIONAL

ORIGIN, AGE, PHYSICAL DISABILITY, MARITAL STATUS OR

MEMBERSHIP IN AN EMPLOYEE ORGANIZATION.

Local vacancy announcements open to outside applicants will

also be sent to the local state employment office.

c. Consideration Requirements

CDepartment of Defense. Before selecting any candidate

from outside the agency, the regulations require that

agencies give full consideration to qualified displaced

DOD employees who filed a timely application. The law

does not extend entitlement to placement, but requires

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“genuine consideration” be given to displaced DOD

employees.

Eligibility for full consideration is tied to either a

specific notice of or actual separation from the

Federal service by Reduction in Force (RIF). To

receive full consideration, the qualified employee must

request full consideration with a job application and

include a copy of his or her specific RIF notice of

separation and/or a copy of the SF-50B, Notification of

Personnel Action, documenting the RIF separation.

For any position for which a covered displaced employee

has applied and is eligible for full consideration, the

servicing Human Resource Management Office shall

document the consideration given. This documentation

must be retained with the merit promotion file

pertaining to the filling of the vacancy and shall be

sufficient to reconstruct the board.

Career Transition Assistance Plan (CTAP) and

Interagency Career Transition Assistance Plan (ICTAP).

Competitive internal actions such as merit promotion,

reassignment, or demotion to a position with more

promotion potential than a position previously held are

permissible while there are no well-qualified CTAP

candidates in the local commuting area.

Well-qualified is defined as meeting the middle

benchmark ("acceptable") on each KSA element.

If the minimum area of consideration is used, well-

qualified Bureau CTAP employees must be selected,

unless the selection would cause another employee to be

separated by RIF or the eligible surplus and displaced

employees in the local commuting area do not meet all

application criteria.

If the area of consideration is outside DOJ, the order

of selection is as follows:

Surplus and displaced agency employees eligible

through the CTAP.

Current or former DOJ employees eligible under the

DOJ Reemployment Priority List.

At the agency’s option, any other displaced DOJ

employee.

Displaced employees eligible through the ICTAP.

Qualified applicants, nonstatus or status.

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Eligible surplus and displaced employees in the local

commuting area must meet all application criteria and

conditions of employment (age requirement, panel

interview, physical, reference checking, etc.).

11. APPLICATION PROCEDURES. Applicants are responsible for

following all instructions in the vacancy announcement.

Specifically, applicants will submit:

! a Position Application (resume, OF-612, or SF-171),

! a copy of their most recent performance rating,

! a copy of their most recent Notification of Personnel

Action (SF-50B), and

! any required Supplemental Application Forms (SAF's).

Also a mobility statement should be included in the package if

required by the vacancy announcement. In addition to providing a

narrative description for all relevant jobs on the application,

the applicant will also be responsible for including a properly

completed Qualifications Rating Sheet, summarizing his or her

relevant work history.

Applicants will be responsible for mailing applications at their

own expense to the announcing office. Applications sent using

government supplies or equipment (i.e. envelopes/postage or fax

machines) will not be considered.

Late applications calls will not be accepted.

Consideration of Absent Employees. An employee who is absent

from duty while on any type of leave, active military duty, or on

detail to another post or agency and who does not reasonably have

access to vacancy announcements is entitled to be considered for

vacancies if he or she so requests. An employee who plans to be

absent should ensure his or her completed application forms are

mailed to reach the announcing office by the closing date of the

vacancy announcement.

12. DETERMINING BASIC ELIGIBILITY. Applicants are considered

eligible for the position if they meet or will meet minimum OPM

qualification standards, time-in-grade requirements, and any

specified selective placement factors within 30 days after the

closing date of the announcement. The announcing office will

make a determination whether the applicant meets minimum

requirements and certify the Qualifications Rating Sheet.

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13. RATING AND RANKING. Rating and ranking of applicants will

occur for all positions with more than one qualified applicant at

each grade level. When a position is announced with multiple

grade levels, qualified applicants are only rated and ranked to

compete with other candidates at the same grade level.

a. Rating Panel. A rating panel shall consist of two members.

Two subject matter experts (SMEs) or supervisors of the position

to be filled may be used as raters, or, a combination of one

SME/supervisor and a human resource representative. The SMEs

must be at least equal in grade to the position, and the

supervisors must have a working knowledge of the position. A

human resource representative, if not a rater, will be available

to provide technical assistance.

Rating panels shall consist only of staff excluded from the

bargaining unit.

b. Rating Factors

(1) Job Element Rating. Each member of the rating panel

will consider how well the applicant's experience, as described

in the job elements, has prepared the candidate for the position

to be filled. The score for experience is the total number of

points awarded by application of the crediting plan.

The raters will review the SAFs of each qualified applicant

and use the crediting plan to determine a rating for each

element. Points may be assigned only at the levels indicated on

the crediting plan (1, 3, and 5). Credit must be given to the

highest level possible, based on any single accomplishment that

satisfies the level definition. The task examples provided under

each level definition serve as a point of reference when

crediting an applicant's experience, education, and training.

These examples are only to be used as benchmarks; an

applicant is not required to satisfy any specific example but

must demonstrate training or experience which satisfies the level

definition. If an applicant fails to satisfy the "Barely

Acceptable" level of an element or fails to submit the SAF for an

element, a score of zero (0) will be assigned.

Each rater will record element scores for applicants on the

Qualification Rating Form (BP-508(33)).

Individual job element scores assigned by the raters will be

compared to ensure a difference of more than 2 points does not

exist between like elements. If a difference of more than 2

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points exists, the raters shall mutually agree to change one or

both rater's score(s) for the affected element(s).

Both raters must sign and date the BP-508(33).

The total scores for both raters will be recorded under the

"Job Element Rating" columns on the Merit Promotion Ranking Form

(Attachment 3-13).

(2) Performance. The performance evaluation considered

must be the most recent rating and not more than 13 months old

according to the date signed by the rating official. If the

applicant does not have a current performance rating, this factor

is presumed to be "fully successful."

(3) Awards. Quality Step Increase (QSI) and Sustained

Superior Performance (SSP) awards, as well as cash awards

(including Time-Off awards), letters of commendation and

suggestion awards received within the last five years, are

credited.

A human resource representative will score each candidate's

awards using the Rating Panel Scoring Instructions

(Attachment 3-12).

The assigned score shall be recorded under the "AWARDS"

column on the Merit Promotion Ranking Form (Attachment 3-13).

14. PROMOTION BOARDS. Promotion boards may be designated on an

ad hoc or permanent basis by the appropriate selecting official,

subject to the following conditions:

a. The selecting official may not be a member of the board.

b. Promotion boards must consist of at least two members, one

of whom must be a representative of the Human Resource Management

(HRM) Office.

15. DETERMINING THE BEST QUALIFIED GROUP. Promotion board

members will determine which candidates will be included among

the best qualified group. The best qualified applicants are

those eligible candidates who rank at the top when compared with

other eligible candidates for promotion.

Based on the criteria listed above:

A human resource representative will add together the total

score for each applicant and record them on the Merit

Promotion Ranking Form. The candidates are then ranked in

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order of their composite scores and the top scoring

candidates are placed in the best qualified group.

There is no minimum or maximum number of names that must go

on the best qualified list. Determining where the break in

score (which may be justified mathematically using a mean or

median) occurs should be decided by the board members.

Nothing in this section should be construed as requiring the

promotion board to place any applicant in the best qualified

group if the board believes no candidate merits such designation.

16. SELECTION PROCEDURES

a. Promotion Certificate. A promotion certificate including

the names and applications of all applicants found to be best

qualified will be forwarded to the selecting official. In

addition:

Best qualified applicants will be listed on the

promotion certificate in alphabetical order.

If the position has been announced at more than one

grade level, the best qualified applicants will be

grouped by grade, at the highest grade level for which

they are eligible. If there is only one applicant

found qualified at a particular grade level, that

individual will automatically be placed on the best

qualified list if the applicant is determined to be

well qualified for the position.

b. Noncompetitive Applicants. Applicants eligible for

noncompetitive appointments and/or conversions, reassignment,

change to lower grade, or reinstatement, whose selections are not

covered by the provisions of this plan, will be submitted to the

selecting official on a separate memorandum.

c. Expiration of Promotion Certificates. A promotion

certificate is valid for 90 days after the date the promotion

board best qualified list is presented to the selecting official.

d. Action by the Selecting Official. The selecting official

may:

Select any best qualified applicant;

Fill the position through some other type of placement

action; or

Decide not to fill the position.

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If additional vacancies occur prior to the expiration of the

promotion certificate, the selecting official may make additional

selections from the best qualified group.

e. Interviews. Selecting officials, or designees, may

interview best qualified applicants. However, if any best

qualified applicant is interviewed, all must be interviewed.

f. Effective Date. Normally, personnel actions resulting from

promotion boards will be effective when the selectee assumes the

new position. The effective date must be the beginning of a pay

period. Travel for relocation will normally begin after the

effective date when the selectee is on the gaining institution's

or office's rolls.

g. Union Requests. Upon request, the HRM will give the local

union president an oral status report on any bargaining unit

selection still pending one week after the promotion board has

met.

17. INFORMING EMPLOYEES

a. Vacancy Announcements. Each HRM Office is to maintain a

complete copy of all active vacancy announcements (which are

included in the area of consideration) issued by Bureau

facilities. Each HRM Office is to ensure that employees have

ready access to vacancy announcement information. This may be

accomplished by displaying the announcements on bulletin boards

or by displaying a list of open announcements on bulletin boards

and maintaining a complete copy in the HRM Office. If a list is

displayed, at a minimum, it shall include the:

Announcement number.

Position title, series, and grade.

Location and closing date.

b. Selection Information. Within 30 days after the date of

selection (or decision not to fill the position), the announcing

office will notify all applicants of the following:

(1) The name, grade, title, and location of the selectee;

(2) Whether the applicant was qualified and included in the

best qualified group or noncompetitive group; and

(3) If the applicant was not qualified, the basis for the

disqualification.

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c. Selection Announcement. Selections made from nationwide

vacancy announcements will be published in the Monday Morning

Highlights. Selections made from all other announcements will be

published locally. Selection announcements will include the

selectee’s name and his or her current and new position and

location.

18. QUESTIONS, COMPLAINTS AND GRIEVANCES

a. General. An employee who has a question, concern or

complaint about the general application of the promotion plan or

a specific promotion action should attempt to resolve the matter

informally by obtaining information from the HRM Office.

b. Grievance Procedures. If the employee believes the matter

has not been resolved informally, he or she may file a grievance

under the procedures contained in the Master Agreement

(bargaining unit) or the agency grievance procedure (non-

bargaining unit).

c. Matters Not Appropriate for Consideration as a Grievance.

Formal grievances may not be based on:

CFailure to be selected for promotion when proper

promotion procedures are used, that is, non-selection

from a group of properly rated, ranked, and certified

applicants, or

An action required to be taken by the Bureau under

provisions of statute or instructions of the Office of

Personnel Management.

d. Access to Information. The grievant and his or her

representative, if any, are entitled to access all relevant

information concerning the applicant only. The grievant's

representative may examine the entire promotion file on behalf of

the grievant in accordance with the Privacy Act. However, the

representative must maintain the confidentiality of the promotion

file. The representative may not disclose any information which

would tend to identify any applicant other than the grievant.

e. Procedural Errors. If a member of a promotion board

believes that a procedural error has occurred in a promotion

board or that a document contains an improper entry, the

following procedure will be used:

(1) The member will call the discrepancy to the attention

of the other board members before it adjourns and ask for the

appropriate adjustment or that the board be deferred until the

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discrepancy is resolved. If the majority of the board agrees,

the board will be deferred and the document returned to the

responsible official for adjustment.

(2) If the majority of the board does not agree to defer or

correct the questioned document or procedure or if the

responsible official fails to correct the document, the

complaining member may indicate his or her protest on the

promotion certificate.

19. PROMOTION RECORDS. Each HRM Office will maintain merit

promotion files for a period of two years or after formal

personnel management evaluation review by OPM, whichever comes

first. Records maintained must be sufficient to allow

reconstruction of the promotion actions, including documentation

on how candidates were rated and ranked.

20. TEMPORARY PROMOTION

A bargaining unit employee who is assigned to a higher

graded position (within the unit) for three full weeks

or more and who is qualified will be temporarily

promoted without competition and will receive the rate

of pay for the higher graded position effective the

first day of the first full pay period of the

assignment. Temporary promotions will not be made for

less than three full weeks.

The selecting official will make a selection for

temporary promotion in excess of 120 days in accordance

with this plan. This does not apply to positions when

rotation among assignments is part of a career

development program. When competitive procedures are

used and when a temporary promotion is expected to last

one year or less, the area of consideration will

normally be limited to the local commuting area.

Temporary promotions will be made at the level where

the promotion opportunity exists.

21. DISCIPLINARY PENALTIES. Any official found to have

improperly discriminated on the basis of an employee's race,

color, religion, sex, sexual orientation, national origin,

political or marital status, nondisqualifying physical

disability, labor organization affiliation or nonaffiliation, or

on the basis of personal favoritism in the rating or selection of

an employee may be subject to disciplinary action as

circumstances warrant.

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335.3 MANAGEMENT SELECTION SYSTEM

1. PURPOSE AND SCOPE. This section prescribes the procedures to

be used in the identification and selection of applicants for the

positions of Warden and Associate Warden. Procedures have been

designed to parallel the current merit promotion system used by

the Bureau of Prisons.

2. DIRECTIVES AFFECTED

Directives Referenced

a. 5 CFR 335.103

b. DOJ Order 1335.1B

3. PROGRAM OBJECTIVES. This selection system is designed to:

a. Provide an effective, fair method of evaluating and

selecting employees for promotion.

b. Give the Executive Staff a choice from among the best-

qualified candidates.

c. Ensure consideration is given to each qualified applicant

without regard to political, religious, or labor organization

affiliation or nonaffiliation, marital status, race, color, sex,

age, national origin or nondisqualifying physical handicap.

d. Establish procedures for evaluating candidates for

promotion.

e. Establish clear procedures to ensure compliance with merit

principles.

4. COVERAGE. This selection system applies to the promotion of

any employee to the positions of Warden, GS-006-15 and Associate

Warden, GS-006-14.

5. AREA OF CONSIDERATION. For positions advertised at GS-14 and

above, the Bureau Personnel Director has been delegated personnel

authority to make exceptions to the Department-wide minimum area

of consideration requirement. An exception may be granted if a

sufficient number of highly qualified candidates (3 or more) are

available for selection within the Bureau of Prisons. With this

in mind, vacancy announcements for these positions will limit the

area of consideration to Bureau of Prisons employees only.

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6. APPLICATION PROCEDURES. A blanket vacancy announcement, for

all locations, will be issued on an annual basis. Applicants

will access the application document via the Bureau of Prisons

Documents System (BOPDOCS). Completion of the application

document will include: responses to the required Knowledge,

Skills, and Abilities (KSA) elements, performance evaluation and

awards information, a synopsis of BOP position history, and

designation of preferred locations. Although candidates are

allowed to list location preferences, submission of an

application indicates willingness to be selected at any location.

Applicants are responsible for faxing the application documents

to the Bureau Personnel Director. The faxed documents transmit

directly into an electronic system capable of screening for basic

qualifications and computing total scores. A graphic image of

the application will also be available for retrieval.

The application process will reopen at the midpoint of the one-

year period for applicants who did not apply during the original

announcement period and for those who were ineligible for

consideration by the original closing date. Location preferences

may only be changed by any applicant during this midpoint of the

yearlong consideration period.

Consideration of Absent Employees. An employee who is absent

from duty while on any type of leave, active military duty, or on

detail to another post or agency is entitled to be considered for

vacancies if he/she so requests. An employee who plans to be

absent is responsible for leaving application forms with the

servicing HRM office, who will fax the forms to the Personnel

Director during the announcement period.

Late Applications. It is the responsibility of the applicant to

ensure all forms are faxed to the Personnel Director by the

closing date of the announcement period. Therefore, no late

applications will be accepted for this selection system.

7. DETERMINING BASIC ELIGIBILITY. Applicants are considered

eligible for the position applied for if they meet or will meet

minimum OPM qualification standards, time-in-grade requirements

and law enforcement officer/age qualifications within thirty days

after the closing date of the announcement. Questions concerning

the above areas will be contained in the application documents

and will be self-reported by the applicants.

If an applicant responds negatively to any of the basic

qualification questions, he/she will be instructed (in the

application) not to continue with the application process. If

the announcing office receives an application and makes the

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determination the applicant does not meet minimum qualification

requirements, notification of this determination will be provided

to the applicant.

8. RATING AND RANKING. Instead of the traditional process of a

promotion board rating and ranking candidates to determine the

"best qualified" (BQ) list, this system breaks this procedure

into three distinct components:

a. Knowledge, Skills and Abilities Evaluation Panels will

evaluate the applicants' competencies based on the KSA responses;

b. the candidates' performance evaluation ratings and awards

information will be compiled and rated through an electronic

means; and

c. the scores from steps a and b above are combined to

determine individual ratings. A national BQ list will be derived

based on these scores.

To elaborate on (a) above, KSA Evaluation Panels, consisting of

senior level administrators (one of which has previously

incumbered the position to be filled), will review and rate the

KSA portion of the applications. Scores are derived through the

use of validated crediting plans and are based on the quality of

the candidates' experience, education and training. Each panel

will have an HRM expert available who, as the recorder, will

serve as the technical advisor, coordinate input of applicant

scores, and ensure all records are kept for historical reference.

The confidentiality of applicants is maintained throughout this

process. The KSA Evaluation Panel members rate applications

identified only by an anonymous identification number.

When scoring KSA's, points may be assigned only at the levels

indicated on the crediting plan (1, 3, and 5). Credit must be

given to the highest level possible, based on any single

accomplishment satisfying the level definition. The task

examples provided under each level definition serve as a point of

reference when crediting an applicant's education, training and

experience. These examples are only to be used as benchmarks; an

applicant is not required to satisfy any specific example but

must demonstrate experience, education or training which

satisfies the level definition. If an applicant fails to satisfy

the "Barely Acceptable" level of an element or fails to submit a

KSA element, a score of zero (0) should be assigned.

Candidates' performance evaluation rating and awards information

will be retrieved through the National Finance Center (NFC)

database.

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The performance evaluation used in scoring must be the most

recent rating and not more than 13 months old. If an applicant

does not have a current performance rating, this factor will be

presumed as "fully successful".

Points will be given for awards received within the past five

years.

9. DETERMINING THE BEST QUALIFIED GROUP. Based on the computer

generated top scores, a national BQ list is identified by using

vacancy rates and promotion trends multiplied by a reasonable

number of candidates per vacancy, using statistical methods. The

entire BQ group is considered for each vacancy and location

preferences are noted, but not binding.

Applicants scoring below the BQ list "cut-off" score are

ineligible for promotion (to these positions) during the one-year

consideration period. Applications received during the

announcement period occurring at the year's midpoint will be

rated; those scoring within the BQ range of scores being added to

the national BQ list. Recent vacancy rates and promotion trends

will be re-evaluated each year to determine the size of the BQ

group for both positions.

10. APPLICATION FOR REASSIGNMENT. Reassignment candidates for

Warden and Associate Warden apply under the vacancy announcement

as well. An abbreviated application is submitted (i.e., location

preferences, position history) but KSA elements are not completed

and the application is not scored. These applications comprise a

supplemental list for selection consideration along with the

promotion list. It should be noted, however, any employee is

subject to reassignment in order to meet the needs of the Bureau,

whether or not an application is submitted.

11. SELECTION PROCEDURES. Summarized work histories of each BQ

list applicant and reassignment candidate will be available for

review. Vacancies will be filled at Executive Staff meetings or

teleconferences, with final selections being made by the

Director.

12. OPERATIONAL ISSUES.

a. Personnel changes during the annual consideration period:

The receipt of new awards or performance evaluations during the

year will have no impact until the new application period. A

candidate promoted during the year to Warden or Associate Warden

is eliminated from the system. However, the candidate continues

to be eligible for reassignment.

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b. Rating information: Rating scores are valid for the

yearlong period. Additionally, scores and application packets

will remain valid for one period only. Due to potential changes

in performance ratings, level of competencies and the recency of

awards, applicants may not extend their rating scores over

application periods, but must reapply for continued

consideration.

c. Record-keeping: This selection system will have an

electronic archive allowing for replication of the rating,

ranking, and selection process, if necessary.

13. SELECTION INFORMATION. Selections made utilizing the

Management Selection System will be published in the Monday

Morning Highlights.

335.4 OPEN-CONTINUOUS ANNOUNCEMENT SYSTEM

1. PURPOSE AND SCOPE. To provide procedures for the

implementation of the open-continuous announcement system.

2. COVERAGE. These procedures apply to the announcement of

supervisory positions in the GS-007 Correctional Officer Series,

at all grade levels.

3. PROCEDURES

* a. Standard vacancy announcements for supervisory positions

are available on SENTRY under Mail ID "BOP Vacancy." Copies of *

these announcements will be permanently posted on bulletin boards

maintained by each HRM office.

b. Applicants who wish to apply for any of these positions

will complete an open continuous application form for each type

of position and grade level for which they wish to be considered.

Specific application requirements are included in the vacancy

announcements.

c. Applicants may apply, or change their choice of locations,

at any time, however, applications on file as of May 1 each year

will be purged and the applicant must reapply to receive

continuing consideration. Applications dated by the applicant

April 15 or later each year will be considered current and will

not be purged on May 1.

d. The servicing HRM office will prepare a complete copy of

the application and forward it promptly to each regional office

for which the applicant has applied. Servicing HRM offices are

responsible for ensuring the application is complete, current and

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accurate. Servicing HRM offices are also responsible for sending

to each regional office where the applicant has applied new

documents which show changes during the life of the application,

for example, new performance ratings or new qualifications rating

sheets showing evidence of incentive awards or disciplinary

action.

e. Each Regional HRM office is responsible for maintaining a

system for filing and retrieving applications for the locations

it services.

f. Applicants will be considered eligible for the position if

they meet the minimum qualification requirements and time-in-

grade restrictions within 30 days of the regional office's

receipt of the application. Applicants not meeting the minimum

requirements within thirty days of receipt will be returned to

the servicing HRM office.

g. The date a regional HRM office generates a list of

applicants for a particular position at a particular location is

considered the closing date for receipt of applications.

Applications received after that date will not be considered.

h. Servicing HRM offices will ensure that applicants who leave

the service submit a new open-continuous application form

indicating their withdrawal from the system or the servicing

office will complete a withdrawal on their behalf. Servicing HRM

offices will also ensure that applicants who change positions or

locations submit an updated application form reflecting the new

information if they wish to continue to be considered.

i. Regional HRM offices will review the Monday Morning

Highlights and electronic mail selection announcements and delete

from their systems the application of anyone selected for a

different position. Applicants who change positions or locations

must reapply to receive continuing consideration. Applicants may

request certification from the regional offices, through their

servicing HRM office, that they are entered in the system for the

positions and locations for which they applied.

335.5 PRIORITY PLACEMENT AND REFERRAL SYSTEM

1. PURPOSE AND SCOPE. It is the policy of the Bureau of Prisons

to give priority consideration to employees who are involuntarily

reduced in grade, not for cause, and to operate a sound priority

placement program under guidelines developed by the Office of

Personnel Management, the Department of Justice and the Federal

Bureau of Prisons. The purpose of the priority placement program

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is to offer positions and facilitate placement of covered

employees in the shortest possible time.

2. EMPLOYEES COVERED. Competitive status employees who have

been certified by their servicing HRM office as being reduced in

grade as a result of reduction in force, an erroneous

classification, granted pay retention by the Bureau Personnel

Director or granted priority consideration as a result of an EEO

complaint, grievance or appeal, employees whose positions have

been targeted to be abolished within 90 days, are eligible for

coverage under the priority placement program.

3. ACTIONS COVERED. Competitive personnel actions such as

selection through merit promotion procedures, selection from an

OPM register, and transfer and reinstatement may not be made

until the procedures for considering applicants on the Priority

Placement List (PPL) and the Priority Placement Referral System

(PPRS) have been followed. Career promotions, lateral

reassignments and other actions excluded from the merit promotion

plan are permitted without a review of the PPL.

4. APPLICATION FOR THE PRIORITY PLACEMENT PROGRAM

a. Employees who are eligible for the priority placement

program will receive written notification of their eligibility

along with the SF-50, Notice of Personnel Action, effecting the

action, or as part of a notice of decision or settlement

agreement.

b. Covered employees who wish to register for the Priority

Placement List will complete an open-continuous application form

for each type of position and grade for which they wish

consideration, and submit it to their servicing HRM office along

with a complete, current SF-171. Use of the open-continuous form

allows the employee to choose more than one location for each

type of position.

c. The servicing HRM office will complete a qualifications

rating sheet for each series and grade applied for, certifying

that the applicant meets the minimum qualification requirements

for that position and grade level.

d. The servicing HRM office will forward a copy of the

application, qualifications rating sheet and decision or notice

which makes the employee eligible for the PPL to the Staffing

Section, Central Office. The servicing HRM office will retain a

copy of these documents, along with the applicant's SF-171, for

future distribution to offices which are filling vacancies for

which the applicant has registered.

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e. At the time of consideration, the announcing office will

request a new qualification rating sheet for the PPL applicant

from the servicing HRM office.

5. DURATION OF ELIGIBILITY. Employees will remain on the PPL

for three years from the effective date of the action that

resulted in their loss of grade unless deleted under Paragraph 9

below. Employees given priority consideration as a result of a

grievance, appeal or EEO settlement or decision will remain on

the PPL until they have either been placed or received the

consideration granted in the decision or settlement.

6. ELECTION NOT TO ENROLL. If an eligible employee elects not

to register for the PPL, the servicing HRM office must counsel

the employee as to the consequences of this decision. The

employee must be advised that election not to enroll

significantly reduces the chances for placement into a position

at the former grade and may result in a reduction in grade and

loss of future earnings upon expiration of grade and/or pay

retention.

7. MAINTENANCE OF THE PPL. The Staffing Section is responsible

for maintaining and publishing the PPL. The Staffing Section

will maintain a current PPL on Sentry and route updated lists to

all HRM offices as changes occur.

8. CONSIDERATION OF PPL AND PPRS APPLICANTS

a. Before a vacancy may be announced, the HRM office delegated

selection authority for the position will review the PPL and

PPRS. If there are no applicants on the PPL or PPRS for the

vacancy, the vacancy may be announced and normal merit promotion

procedures followed. A copy of the PPL and PPRS will be included

in the merit promotion file.

b. If the PPL includes an applicant for the vacancy, the

announcing HRM office will secure from the applicant's servicing

HRM office a current qualifications rating sheet, SF-171 and

performance appraisal. These documents will be reviewed by the

selecting official. The selecting official will consider the

applicant's performance and compare his/her experience to the

requirements of the position being filled.

c. The Staffing Section will notify PPRS applicants who do not

meet the age requirements of their ineligibility for

consideration. The announcing HRM office will secure from the

Staffing Section a copy of the PPRS applicant's application. The

announcing HRM office will obtain a copy of the PPRS applicant's

most recent SF-50 and performance appraisal. These documents

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will be reviewed by the selecting official. The selecting

official will consider the applicant's performance and compare

his/her experience to the requirements of the position being

filled.

d. If the selecting official decides not to select the PPL or

PPRS candidate, the reasons for the non-selection will be made in

writing and signed by the selecting official. A copy of the

justification for non-selection will be filed in the promotion

file and a copy will be sent to the PPL applicant.

e. Once the selecting official has reviewed and not selected

any PPL or PPRS applicants, the vacancy may be announced and

normal merit promotion procedures followed.

9. DELETION FROM THE PRIORITY PLACEMENT LIST. The Central

Office Staffing Section will remove an applicant's name from the

PPL upon his/her:

a. Written request to be removed from consideration;

b. Selection through any procedure which places the employee

back into the grade from which reduced;

c. Declination of a valid offer;

d. Expiration of the three-year eligibility period;

e. Receiving priority consideration as specified in a

grievance, appeal or complaint settlement or decision; or

f. Placement in a lower-graded position at the employee's

request or for personal cause.

Servicing HRM offices will notify the Staffing Section

immediately when an employee is to be deleted from the PPL

because of his/her selection, declination or other circumstance

which terminates eligibility for the PPL.

335.6 DETAILS FOR TRAINING FOR TRADES AND CRAFTS POSITIONS

1. PURPOSE AND SCOPE. For several years the Bureau of Prisons

has endorsed the concept of filling some trades and crafts

positions at the trainee level. "In-house" trainee selections

provide an additional avenue of career advancement for employees

and the person placed in the position already possesses the

required correctional skills.

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2. PROCEDURES. Trainee positions have not always been

structured correctly. In the past, wage trainee positions have

been restructured in one of three ways:

a. The Wage Supervisor (WS) rating of the target position was

lowered. This method has been questioned by OPM, which maintains

that in order for a person to supervise trades and crafts work,

the person must possess the required knowledge and skills of the

trade. Therefore, it is OPM's opinion that a FWS rating for a

wage trainee is inappropriate.

b. The target position was restructured to be nonsupervisory

during the training period and filled as a WFS position. This

method does nothing to reduce the knowledge, skills and abilities

required in the trade or craft and resulted in the continued

inability to qualify current employees for the target position.

c. The use of a "detail-for-training". In this method, the

target position is filled by competitive detail while the

selected employee acquires the necessary skills, knowledge, and

abilities to qualify for the target position by on-the-job

training.

In reviewing these methods of restructuring positions to

accommodate trainees, it appears that method c. is the one most

consistent with OPM requirements and our negotiated Merit

Promotion Plan. Therefore, this method will be utilized

Bureau-wide when a wage position is to be filled at the trainee

level.

Staffing procedures for positions under the "trainee" concept

are as follows:

(1) A detail-for-training, not to exceed one year, to the

target position will be competitively announced and

filled in accordance with the negotiated Merit

Promotion Plan.

(2) The supervisor of the target position will develop a

detailed, written training program to be accomplished

by the selectee within 12 months or less. (This

program is not intended for trades that have a lengthy

apprenticeship.) The supervisor will be responsible

for monitoring and documenting completion of the

training plan. The Employee Development Manager will

provided assistance in the development of the training

plan.

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(3) The individual selected and the supervisor of the

position will be required to sign a training

agreement. A sample training agreement is shown in

Attachment 3-17.

(4) Upon completion of the training program, the target

position may be announced locally and selection made

through normal merit promotion procedures.

Alternatively, the trainee may be promoted to the

target position without further competition if the

target position was clearly stated in the original

detail-for-training announcement.

(5) The crediting plan for Apprentice Positions, dated July

1984, will be used in filling these details-for-

training.

(6) The details will be for periods of 120 days up to a

total of one year. The trainee will be retained in the

current series and grade. The detail will be documented

with a remark such as: "Detailed for training to an

Electrical Equipment Repairer position."

(7) The trainee will remain eligible for step increases and

career promotions based on the current series and

grade.

335.7 REFERENCE CHECKING

1. PURPOSE AND SCOPE. To establish procedures to enable

selecting officials to check the references of candidates in the

best qualified and/or non-competitive group.

2. STAFF AUTHORIZED TO PERFORM REFERENCE CHECKS. The selecting

official or designee is authorized to conduct reference checking.

3. REFERENCE CHECK CONTACTS. Three categories of references may

be checked:

individuals in the applicant's current or past chain of

command;

for technical positions, individuals expected to have

knowledge of the applicant's technical skills (i.e.,

institutional, regional and/or Central Office

counterparts); and

personal and professional references provided by the

applicant.

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4. WHO MAY BE REFERENCE CHECKED. Candidates whose applications

will be forwarded to the selecting official (i.e., best qualified

candidates and those in the non-competitive group) may be

reference checked.

For non-bargaining unit positions (regardless of the bargaining

unit status of the applicants), one has the option of conducting

checks on all, some, or none of the candidates.

For bargaining unit positions (regardless of the bargaining unit

status of the applicants), one has the option of conducting

checks on all or none of the candidates.

Additionally, in the case of bargaining unit positions:

The decision to reference check candidates on one

list(e.g., the best qualified list or non-competitive

list) requires that all of the candidates on that list

be checked. It does not, however, require that the

candidates on the other list be checked as well, unless

the selecting official so desires. For example, the

decision to reference check the best qualified list

requires that all of the best qualified candidates are

checked, but the non-competitive applicants need not be

checked unless the selecting official wishes to

reference check that list and vice versa. Once,

however, the decision is made to reference check anyone

on a list, all candidates on that list must be checked.

If the decision is made to reference check, the "all or

none" requirement applies to the first level of checks

only. Should the selecting official or other designees

decide to do a subsequent reference check on any of the

candidates, the subsequent reference checking need not

be performed on all of the candidates.

Applicants will be notified as to whether reference

checking was conducted for the vacancy after the

selection is made.

5. APPROPRIATE AREAS OF INQUIRY. The attached Confidential

Reference Check form will be used (see Attachment 3-27). The

questions outlined on the attached form are required and follow-

up questions for clarification purposes are permissible.

Additionally, should the reference checker determine that

additional job-related questions are necessary, those questions

are to be added to this form and asked of all applicants who are

reference checked for that vacancy.

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The reference checker is authorized to verify the information

the applicant submitted.

Questions shall be framed so they do not indicate an applicant’s

race, sex, color, religion, national origin, disability or sexual

preference.

The form will be used to record the results of the reference

checking, ensuring that specific ratings are not directly linked

to specific references. Checks may be used to distinguish each

reference received in the appropriate boxes. Additional forms

may be used, if more than three references are contacted.

6. INAPPROPRIATE AREAS OF INQUIRY. Inquiries are to be related

to the employee's job performance and knowledge, skills and

abilities. Inquiries shall not address any of the following

topics:

age,

marital status,

dependents,

country of origin,

race,

sex,

religious practices,

sexual preference,

medical history,

prescription drug use,

disability or other physical condition,

workers compensation claims,

authorized use of leave, or

labor union participation.

7. MAINTENANCE. For non-bargaining unit positions (regardless

of the bargaining unit status of the applicants), the reference

check form will be confidential and maintained in the Merit

Promotion File in accordance with established procedures for file

retention.

For bargaining unit positions (regardless of the bargaining unit

status of the applicants), the applicant’s reference check form

will be accessible to the applicant after a selection has been

made or the Merit Promotion File is otherwise closed. The

reference check forms will be maintained in the Merit Promotion

File in accordance with established procedures for file

retention.

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338.1 QUALIFICATION STANDARDS FOR ADMINISTRATIVE POSITIONS

1. PURPOSE AND SCOPE. To establish and define qualification

standards for administrative positions. All employees in federal

correctional facilities have a primary responsibility for the

detention, direction, supervision, inspection, training,

employment, care and transportation of inmates incarcerated in

these facilities. Therefore, they are covered by the special

retirement provisions for law enforcement officers as defined in

Chapters 83 and 84 of Title 5, United States Code. Employees in

administrative positions may be covered under these law

enforcement retirement provisions if experience as a law

enforcement officer is a basic qualification requirement for the

administrative position.

2. DIRECTIVES AFFECTED

Directive Referenced

5 USC, Chapters 84 and 85

3. DEFINITION. An administrative position is defined as a

position in the Central Office or in a regional office which

requires the incumbent to develop policies, to provide expert

advice in an area of correctional specialty, or to provide

guidance, direction, supervision, advice or evaluation for a

program or programs in correctional facilities. Examples of such

programs include, but are not limited to:

Security Federal Prison Industries

Case Management Food Service

Education Health Services

Human Resource Management Legal Administration

Financial Management Research/Program Development

Facilities Operations Community Corrections

Employee Development Inmate Systems Management

Computer Services Psychology Services

Safety Administration Religious Services

4. EXPERIENCE. Central Office and regional administrators must

have experience in correctional facilities if they are to be

effective in the primary responsibilities of directing and

evaluating these operating programs in field institutions.

Therefore, it is the policy of the Bureau of Prisons that every

effort will be made to find qualified applicants with

correctional experience for administrative positions.

Individuals selected for administrative positions who have not

had experience in a correctional facility will receive

orientation and training in various correctional subjects, in

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accordance with established policy, to enhance their

understanding of the correctional environment.

338.2 MODIFYING QUALIFICATIONS STANDARDS FOR INSERVICE

PLACEMENT

1. PURPOSE AND SCOPE. The Office of Personnel Management has

authorized agencies to modify experience requirements for certain

inservice placement actions. This authority was originally

published in FPM Letter 338-11 and has now been incorporated into

the General Policies and Instructions for the Qualification

Standard Handbook, published in March 1990. To ensure that the

authority is used appropriately and that applicants are given

fair consideration, HRM offices will follow the policies,

guidelines and procedures in this section when modifying

qualification standards.

2. DIRECTIVE AFFECTED

Directive Referenced

General Policies and Instructions for the Qualifications

Handbook.

3. PROVISIONS FOR USE OF MODIFIED STANDARDS

a. The normal experience requirements may be modified when the

applicant's background includes related experience which

demonstrates the knowledge, skills and abilities necessary for

successful performance in the new position.

b. Either the general experience requirement or the

specialized experience requirement or both may be modified.

c. Minimum education, licensure or certification requirements

may not be modified.

d. Experience requirements may be modified only if the

applicant is being considered for reassignment, voluntary change

to lower grade or transfer or reinstatement to the same or lower

grade than that currently or previously held. Experience

requirements may be modified for reassignment, change to lower

grade, transfer or reinstatement to a position with greater

promotion potential than the current position under merit

promotion procedures. Applicants for immediate promotion must

meet the full experience requirements described in the

qualification standard.

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4. WHEN TO USE MODIFIED STANDARDS. Two of the objectives of the

Bureau of Prisons' merit promotion plan are to provide an

effective, fair method of evaluating applicants and to give the

selecting official a choice from among the best-qualified

applicants for a position. Normally, the process involves making

an initial determination about the applicant's qualifications by

comparing the experience with the qualification standard.

Occasionally, it may be decided that applicants who do not meet

all of the experience requirements in the standard can still be

expected to perform successfully in the new position because they

have closely related experience. On these occasions, it is

appropriate to modify the experience requirements. Placement in

trainee or upward mobility positions are examples of appropriate

use of modified standards. The authority to use modified

standards should be used sparingly and only when it is expected

that an insufficient number of best-qualified applicants will

qualify under the normal standard.

5. HOW TO MODIFY STANDARDS

a. Consultation with Program Managers. Before deciding to use

a modified standard, HRM's should consult with the Department

Head or program manager to determine whether the normal

experience requirements can be modified and to determine what the

modified requirements should be.

b. Determining Modified Requirements. Modified experience

requirements must demonstrate that the applicant gained the

necessary knowledge, skills and abilities (KSA's) through related

experience. Therefore, HRM's must identify the KSA's for the

position being filled. Review of the qualification standard,

position classification standard, position description and

consultation with subject-matter experts (Department Head or

program manager) are useful in identifying the KSA's for the

position.

6. PROCEDURES

a. Vacancy Announcement. When a modified standard is used,

the vacancy announcement will so state and will identify the

modified requirements to be met. The following language is

recommended:

In accordance with the General Policies and Instructions for

the Qualification Standards Handbook, experience requirements may

be modified. Applicants may qualify on the basis of related

experience which provided evidence of (list KSA's).

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b. Qualifications Rating Sheet. Servicing HRM offices will

document the applicant's experience on the qualifications rating

sheet and indicate whether the applicant qualifies under the

normal requirements described in the standard or the modified

requirements described in the vacancy announcement. Applicants

who meet the full requirements of the standard will not be shown

on the qualifications rating sheet as qualifying under the

modified standard. Applicants are responsible for providing

adequate information about their experience with their

applications. Servicing HRM offices may not credit experience

which is not supported by the application documents nor may they

assume that KSA's have been demonstrated based on job title

alone.

Announcing HRM offices will review the qualifications rating

sheets of all applicants to ensure that modified standards have

been applied consistently.

c. SF-52 and SF-50. When a selectee qualifies under a

modified standard, the SF-52 and the SF-50 documenting the

selection will include a remark that the selectee qualified based

on a modified standard.

d. Subsequent Promotions. Selectees whose placement in a

position was based on a modified standard are eligible for

subsequent promotions based on the add-on rule. When the

applicant does not meet total length of experience requirements

but does meet the difference in the length of experience required

for the current and proposed positions, the applicant is

considered to be qualified. Qualifications rating sheets for

subsequent promotions will document that the applicant qualifies

under the add-on rule. Further discussion of the add-on rule can

be found in the General Policies and Instructions for the

Qualification Standards Handbook, Section F9.

338.3 JOB ELEMENT EXAMINING PLAN FOR TRADES AND LABOR

POSITIONS

1. PURPOSE AND SCOPE. This section describes the procedures to

be used in determining whether an applicant for a trades and

labor position meets the minimum qualification requirements.

Applicants will be rated by a rating panel using the appropriate

crediting plan to evaluate the applicant's knowledge, skills and

abilities.

2. DIRECTIVES AFFECTED

Directives Referenced

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a. Job Qualification System for Trades and Labor Occupations

b. Bureau of Prisons Crediting Plans

3. RATING PANELS. Rating panels determine the applicant's

eligibility for a position by comparing the applicant's responses

on the supplemental application form to the descriptive examples

in the appropriate crediting plan and assigning a numerical

score. Rating panels will consist of a representative of the HRM

office and a subject matter expert.

4. APPROVED JOB ELEMENT. The job elements for each type of

position are shown in Appendix A, Handbook X-118C and in the BOP

crediting plan for the trade (occupation). The approved elements

for each type of position include the following screen-out

elements:

a. For non-supervisory FWS positions, the screen-out element

is #1, "Ability to do the work of the position without more than

normal supervision."

b. For Wage Leader (WL) and Wage Supervisor (WS) positions,

the screen-out element is #73, "Ability to lead or supervise."

c. For General Foreman positions, the screen-out element is

#73-A, "Ability to supervise through subordinate supervisors."

Additionally, all trade and craft positions in the Federal

Bureau of Prisons have the screen-out element #100-C, "Aptitude

for work with inmates." The approved elements for apprentice and

general foremen level positions are found in Appendix B, Handbook

X-118C.

5. CREDITING PLANS. Crediting plans have been developed for the

trades and crafts positions commonly found in BOP institutions.

Should new or additional crediting plans be necessary, they will

be developed in accordance with instructions in Handbook X-118C

and in a similar manner and style to those now existing. The

approved sets of job elements for each job family, along with the

element "Aptitude for work with inmates" (#100-C) are included in

each crediting plan, along with descriptions and point values for

various levels of acceptable experience and training. In the

development of new crediting plans, trades and crafts personnel

(Subject Matter Experts) should participate as they can best

describe shop practices, materials, equipment, etc., using the

terminology of the trade.

Crediting plans are restricted documents, available only to

members of rating panels. Employees may not have access to

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crediting plans because the information contained in them may

give an applicant unfair advantage in applying for jobs.

6. OPM COMPETITIVE ANNOUNCEMENTS. HRM offices developing or

working with OPM offices in the development of Federal Wage

System job announcements and crediting plans will include the

screen-out element #100-C, "Aptitude for work with inmates," in

any such announcement and crediting plan. As a screen-out

element, applicants who do not demonstrate an aptitude for work

with inmates will be found not qualified for the position.

A letter dated October 26, 1970, from the Central Office of the

Civil Service Commission (now the Office of Personnel Management)

stipulated that for supervisory or leader trades and labor jobs,

"barely acceptable or potentially satisfactory" ability may be

required in Element 100-C for minimum eligibility on the screen-

out element. It was further agreed that information obtained in

pre-employment interviews that reflects adversely on the

applicant's aptitude for work with inmates may be used as a basis

for objecting to an applicant on a certificate of eligibles.

7. RATING PROCEDURES. The rating panel uses the descriptions in

the crediting plan as a yardstick for assessing the

qualifications of the applicant. Point values assigned for each

element represent the consensus of the panel members, not

individual scores or an average of individual scores. Screen-out

elements may be rated first to eliminate obviously unqualified

applicants. To be eligible, an applicant must obtain a score of

at least two points on each of the screen-out elements and the

total score must be at least equal to one-half the total possible

points.

8. DEMONSTRATED ABILITY VS. POTENTIAL ABILITY. Applicants for

positions at all levels (apprentice/trainee or journeyman) may be

found qualified if the following conditions are met:

a. Applicants score at least two points on each screen-out

element. The points may be based on the applicant's demonstrated

ability or potential ability.

b. The total number of points an applicant scores on all

elements must be at least two times the number of elements.

c. If the position to be filled is at the journeyman level

(including all leader, foreman and general foreman positions),

points credited for potential ability in the remaining elements

(those which are not screen-out elements) may not be counted in

the total.

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d. If the position to be filled is at the apprentice or

trainee level, points credited for potential ability in the

remaining elements (those which are not screen-out elements) may

be counted in the total.

9. PHYSICAL REQUIREMENTS

a. The following physical requirements were approved for use

with BOP trades and labor positions. The duties of all Federal

Wage System positions in the Bureau of Prisons and Federal Prison

Industries, Inc. (UNICOR) daily require arduous physical exertion

and unusual mental pressure. In times of emergency, which are

frequent, duties require extreme physical exertion such as

restraint of inmates, participation in escape hunts, protracted

and irregular hours of duty, etc. Therefore, applicants must be

of sound health capable of meeting the following physical

standards:

(1) Performing efficiently the duties of the position; be

free from defects or diseases as may constitute

employment hazard to themselves or to others; and have

no deformities, disfigurements or abnormalities which

tend to be conspicuous.

(2) Vision of at least 20/100 (Snellen) in the better eye,

without correction, corrected to at least 20/70

(Snellen) in one eye and 20/30 (Snellen) in the other.

Defective vision must not be due to active or

progressive organic disease. Applicants must be able

to read printed material the size of typewritten

characters with comparative ease.

(3) For the positions of automotive mechanic, electrician,

electronic technician and machinist, applicants must be

able to distinguish basic colors. For the positions of

painter and welder, the ability to distinguish shades

of color is required.

(4) Hearing in each ear must be normal, that is, 15/15 in

each ear by the whispered voice test. Hearing aids are

not acceptable.

(5) Hernia (with or without truss), organic heart disease

(whether or not compensated), severe varicose veins,

serious deformities or disabilities of extremities

(including weak feet), mental or nervous disease,

chronic constitutional disease, marked abnormality of

speech, facial disfigurement or other serious physical

defect or disease will disqualify for appointment.

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b. The above requirements are modified by the following

paragraph:

The physical requirements of this standard are based on the

arduous or hazardous nature of the duties typically

performed by most of the positions covered by the standard.

However, since individual positions may not include all such

duties, a physical condition or impairment may be

disqualifying for appointment only if there is a direct

relationship between the condition and the nature of the

duties of the specific position to be filled. In some

instances, a physical impairment will not disqualify an

applicant for appointment if the condition is compensated

for by a satisfactory prosthesis, mechanical aid or by

reasonable accommodation. Reasonable accommodation may

include, but is not limited to: the use of assistive

devices, job modification or restructuring, provision of

readers and interpreters or adjusted work schedule.

338.4 PASS/FAIL SYSTEM FOR INTRODUCTION TO CORRECTIONAL

TECHNIQUES

1. PURPOSE AND SCOPE. It is essential that all staff working

in a correctional environment be at least minimally proficient in

the knowledge, skills, and abilities (KSAs) needed for

correctional work. Validation research has identified these

critical KSAs. Therefore, the attainment of proficiency in these

areas, operationally defined as the successful completion of the

Introduction to Correctional Techniques Program (ICTP), is a

condition of employment for all staff in correctional

institutions.

* In order to obtain the necessary KSAs, all covered employees must

successfully complete the ICTP. Successful completion is defined

by the attainment of an acceptable level of performance, as

defined by the Staff Training Academy, in three areas: firearms,

physical abilities, and a written test of job knowledge.

Physicians, dentists, and chaplains may elect to waive the

firearms portion, however, the other evaluative areas are

applicable. Students who do not attain an acceptable level of

performance in all three areas will fail the ICTP and their

employment will be terminated. *

2. DIRECTIVES AFFECTED

Directive Referenced

PS 3906.14 Physical and Medical Standards for Newly

Hired Correctional Employees

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PS 3906.16 Employee Development Manual

3. EMPLOYEES COVERED

a. All employees appointed after December 31, 1983 to

positions defined as primary law enforcement positions and whose

appointments meet the following conditions are covered:

(1) Career and career-conditional appointments, including

reinstatements and transfers.

(2) Excepted service appointments exceeding one year and

temporary appointments for which there is an

expectation of conversion to a permanent appointment.

(3) Reinstatements of former Bureau of Prisons' employees

whose break in service (from the Bureau of Prisons)

exceeds three years.

(4) Public Health Service employees and officers stationed

in a correctional facility are also covered by these

pass/fail requirements.

b. The pass/fail requirement for the physical abilities

testing component of the Introduction to Correctional Techniques

course is in effect for staff entering on duty after

January 1, 1997.

c. Any employee appointed to a non-law enforcement position

after December 31, 1983 and who attends the ICTP, but does not

satisfactorily complete the training, is not eligible to be

assigned to a primary law enforcement position. Selection of a

non-law enforcement employee for a law enforcement position in

which the employee did not have the opportunity to successfully

complete the ICTP is considered tentative. Only upon successful

completion of the ICTP may the selection be finalized, and the

employee allowed to begin the relocation process.

4. NOTIFICATION OF REQUIREMENT. Requests for certificates of

eligibles and vacancy announcements will include a notice that

successful completion of the ICTP is a condition of employment.

* Prospective employees for law enforcement positions shall be

notified of the requirement to successfully complete the ICTP at

the time of the pre-employment interview or prior to selection,

if currently employed with the Bureau. Non-law enforcement

employees will acknowledge the requirement to successfully

complete the ICTP before selection into a law enforcement

position. Applicants and employees initially assuming a law

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enforcement position will acknowledge this requirement by signing

Attachment 3-18. *

338.5 APPOINTMENT ABOVE THE MINIMUM RATE BASED ON SUPERIOR

QUALIFICATIONS

1. PURPOSE AND SCOPE. To establish criteria and procedures for

appointment above the minimum rate based on superior

qualifications for non-attorney positions.

2. DIRECTIVES AFFECTED

Directives Referenced

5 CFR §531.203(b)

3. APPROVAL. An above the minimum rate allows for the

appointment of a superior candidate appointed at a salary rate

above the minimum step of the qualifying grade.

Above the minimum rate requests are used to attract top quality

candidates from outside the government service who meet one of

the following:

SUPERIOR QUALIFICATIONS - Candidates who have superior

qualifications and who would forfeit income that would

justify a salary above the base pay for the grade; or

SPECIAL NEED - Candidates who have a unique combination of

education and experience that meets a special need of the

agency.

The above the minimum rate request must be approved prior to the

candidate's entry on duty date.

* It must be the applicant's initial appointment into government

service or after a break in government service of at least 90

days. Experts and consultants such as dentists, medical

officers, etc., who are currently providing services for the

Bureau under contract paid by non-appropriated funds, may be

offered an above the minimum rate appointment. Above the minimum

rates may not be used for reassignments of current government

employees.

Approval of above the minimum rate appointments based on superior

qualifications for non-attorney positions was delegated to the

Personnel Director, Bureau of Prisons, effective November 23,

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1992. This authority is used to make appointments that do not

exceed a candidate's existing pay by 20 percent.

In addition, the Bureau Personnel Director has been granted

delegated authority to approve above the minimum rate

appointments that are:

a. more than 20 percent higher than a candidate's existing pay;

b. based on a special need of the agency; and

c. based on a reasonable expectation of employment (if

unemployed).

This additional authority will only be used in rare instances and

will not be approved solely on the basis of a candidate's

existing pay. The candidate's qualifications for the position in

relation to other candidates, and any specialized job

requirements or special need of the agency shall carry equal

weight.

Above the minimum rate requests for attorney positions will

continue to be approved by the Director, Office of Attorney

Personnel Management.

4. PROCEDURES. An above the minimum rate request is prepared by

the hiring office and forwarded to the Staffing Section, Central

Office for approval.

Submission of the required documents for an above the minimum

rate request must include the following:

• Cover Memo;

• Justification;

• Application or Resume;

• Copy of the SF-52;

• Copy of the Certificate of Eligibles or other hiring

authority documentation;

• Copy of the position description and cover sheet; and

• Copy of the earnings statement, employment offer or other

salary verification.

Criteria for each item listed above include the following: *

a. Cover Memo. A cover memo (Attachment 3-19) addressed from

the Chief of Staffing, Central Office, to the Bureau Personnel

Director, will include the candidate's name, proposed position,

organizational location, and legal appointing authority.

b. Justification. The justification must address the

following issues in regard to the candidate:

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(1) superior qualifications,

(2) comparison to other candidates,

(3) recruitment efforts,

(4) salary requirements, and

(5) recruitment bonus offer.

The justification must clearly demonstrate that the candidate

has superior qualifications. This would include a detailed

description of the candidate's educational background,

experience, and any pertinent licenses, certifications, awards,

publications or accomplishments. This must be supported by the

application or resume and other available documentation.

If there are other available qualified candidates, it must be

demonstrated why this candidate's credentials exceed the

credentials of the other candidates. Specific reasons must be

given for those candidates not selected.

Recruitment efforts to attract such a candidate must be

addressed in the justification. Examples include attendance at

job fairs, regional advertising campaigns, and the fact the

position has remained vacant for an extended period of time.

* The candidate's unwillingness to accept the minimum salary

rate of the position must be indicated in the justification.

A statement shall be included indicating a recruitment bonus

was offered in lieu of or in addition to the above the minimum

rate. If a recruitment bonus was offered, but declined, the

reason must be given for this decision. *

c. Application. The application or resume must be signed and

include complete descriptions of experience, educational

credentials, and salary requirements.

d. SF-52. A copy of the SF-52 with complete signatures, the

name of the employee, and the proposed grade and step.

e. Certificate of Eligibles. A copy of the Certificate of

Eligibles on which the candidate's name appears along with proper

annotations of non-selections of other candidates, if applicable.

If other hiring authorities are used, include the documentation

(i.e. merit promotion certificate and selective factors).

f. Position Description (PD) and Cover Sheet. A copy of the

PD with all required signatures on the cover sheet.

* g. Employment Verification. A copy of earning statements not

over three months old, photocopy of the previous year tax forms

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or W-2, salary verification by an accountant or current employer

on company letterhead, or written employment offers, whichever is

applicable.

Written employment offers less than three months old must

promise a comparable salary and indicate the position is

currently available to the candidate. Also, all documentation

submitted as evidence of present or past salary must match the

salary indicated on the application or resume for the last

position held. *

h. Above the Minimum Rate Checklist. The Above the Minimum

Rate Checklist (Attachment 3-20) shall be signed by the Human

Resource Manager to certify the above the minimum rate request is

complete and will be included as the top cover sheet in the

package.

Proper documentation shall be noted on the Above the Minimum

Rate Checklist (Attachment 3-20) as to the date received and date

forwarded to the Central Office. All other information on the

Above the Minimum Rate Checklist must be noted and certified by

signature from the Human Resource Manager prior to mailing to the

Central Office.

Questions regarding appointments above the minimum rate may be

directed to the Staffing Section.

338.6 MAXIMUM ENTRY AGE FOR LAW ENFORCEMENT POSITIONS

1. PURPOSE AND SCOPE. To delineate maximum entry age for law

enforcement positions.

2. DIRECTIVES REFERENCED

a. 5 U.S.C. 8331.

b. DOJ Order 1338.1B

3. PROVISIONS. Under the provisions of Public Law 93-350 (5

U.S.C. 8331 (20) (A) (D), Congress provided federal agencies with

the authority to establish maximum age limits in which original

appointments may be made to positions of law enforcement

officers. The definition of law enforcement officer, for the

purpose of this provision, specifically includes employees of the

Bureau of Prisons whose duties require contact with individuals

incarcerated in federal correctional facilities.

On June 4, 1975, the U.S. Civil Service Commission (now the

Office of Personnel Management) concurred with the Attorney

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General's decision to set the maximum age for original entry into

all positions within correctional facilities of the Bureau of

Prisons as the date immediately preceding one's 35th birthday.

This maximum age limit is an exception to the Age Discrimination

in Employment Act and was upheld in Stewart v. Smith 673 F.2d 485

(DC Cir. 1982).

Effective June 4, 1991, under the authority of Public Law

100-238, the Attorney General raised the maximum entry age for

law enforcement positions in the Department of Justice to the

date immediately preceding one's 37th birthday.

* 4. EXCEPTIONS. The Department of Justice has excepted medical

officers, dental officers, Catholic chaplains, Islamic chaplains,

Jewish Rabbis and physician assistants from the maximum entry

age. *

5. WAIVERS. A waiver of the maximum entry age requirements may

be requested for any position for which there is a shortage of

applicants under the age of 37. A waiver may be granted which

allows the appointment of a candidate up to the date immediately

preceding their 40th birthday. The Director of the Bureau of

Prisons is authorized by the Attorney General to approve a waiver

of the maximum entry age for appointments to the positions of

nurse and clinical psychologist. Waivers for other occupations

require the approval of the Department of Justice. Requests for

age waivers are submitted to the Staffing Section and must

include:

a. Memorandum from the CEO to the Bureau Personnel Director

describing unsuccessful efforts to recruit applicants under the

age of 37

b. The proposed entry on duty date;

c. A statement that fully explains the basis for the desired

exception;

d. Copy of SF-39 and certificate of eligibles, if the

candidate is being considered from an OPM register;

e. Copy of position description for the vacancy; and

f. Copy of applicant's SF-171.

6. TEMPORARY APPOINTMENTS. The Department of Justice has issued

an opinion that a temporary appointment is not subject to the

maximum entry age, as the age limit applies to the initial

permanent appointment to a law enforcement position.

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338.7 NONCITIZENS

1. PURPOSE AND SCOPE. To establish procedures for appointment

of noncitizens to fill the following positions:

. Clinical Psychologist

. Correctional Officer

. Correctional Treatment Specialist

. Counseling Psychologist

. Medical Officer

. Physician Assistant

3. AUTHORITY. The Office of Personnel Management has delegated

to the Bureau of Prisons the authority to appoint noncitizens to

fill the positions referenced above in the absence of applicants

who are qualified U.S. Citizens.

4. PROCEDURES. Institutions may request approval to hire

noncitizens only after all available resources have been

exhausted in an effort to hire qualified U.S. Citizens.

Realistically, such requests are only justifiable for hard-to-

fill positions such as Physician Assistant, Psychologist and

Medical Officer.

The three major considerations in making determinations on

requests to appoint noncitizens are:

a. No qualified U.S. Citizens available at any grade level.

b. Proof of extensive efforts to recruit qualified U.S.

Citizens.

c. Noncitizen applicants must meet all requirements in

accordance with the Appropriation Act and qualification

standards.

Requests to hire noncitizens are submitted to the Examining

Section and must include:

a. Standard Form 59, "Request for Approval of Noncompetitive

Action",

b. Memorandum requesting approval to hire a noncitizen and

describing efforts to hire U.S. citizens with supporting

documentation.

c. Copies of all SF-39's for certificates requested from

appropriate register during the last 12 months and current

SF-39's for all grade levels showing no available

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applicants. DO NOT NAME REQUEST NONCITIZENS ON SF-39's, they are

not permitted on federal registers.

d. SF-52, signed by the Chief Executive Officer, for the

requested appointment of a noncitizen. The nature of action is

"Excepted Appointment" and the appointment authority is Schedule

A, Section 213.3102(bb).

e. SF-171 and college transcript of prospective employee.

f. INS Form I9, verification that prospective employee is a

legal alien of the United States.

g. Credential evaluation letter for foreign medical

graduate, if applicable.

5. PRIOR APPROVAL. Noncitizens may not be appointed or enter on

duty until after approval is granted by the Chief of the

Examining Section.

6. APPROPRIATION ACT RESTRICTIONS. The current Appropriation

Act prohibits the payment of noncitizens from appropriated funds

unless they:

a. Owe allegiance to the United States, i.e., are a native of

American Samoa.

b. Are an alien of Cuba, Poland, South Vietnam, citizen of

Israel or the Baltic countries lawfully admitted to the United

States for permanent residence.

c. Are South Vietnamese, Cambodian and Laotian refugees

paroled into the United States between January 1, 1975 and

September 29, 1979.

d. Are Nationals of countries allied with the United States in

the current defense effort. The following countries currently

are allied with the United States in a defense effort:

Argentina Italy

Australia Japan

Bahamas Korea, Republic of

Belgium Luxembourg

Bolivia Mexico

Brazil Netherlands

Canada New Zealand

Chile Nicaragua

Colombia Norway

Costa Rica Panama

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Cuba Paraguay

Denmark Peru

Dominican Republic Philippines

Ecuador Portugal

El Salvador Spain

France Thailand

Germany, Federal Republic of Trinidad and Tobago

Greece Turkey

Guatemala United Kingdom

Haiti Uruguay

Honduras Venezuela

Iceland

Questions on the appointment of noncitizens or submission of

requests for approval should be directed to the Examining

Section.

339.1 PHYSICAL REQUIREMENTS FOR INSTITUTION POSITIONS

* 1. PURPOSE AND SCOPE. All positions located in correctional

institutions are hazardous duty law enforcement officer

positions, and require individuals to be physically able and

medically qualified to perform correctional work safely and

successfully. These positions require a physical examination

after a conditional offer of employment has been extended and

have higher physical requirements than non-law enforcement

officer positions.

2. DIRECTIVES AFFECTED

Directives Referenced

5 CFR, Part 339

OPM Qualification Standards Operating Manual

PS 3906.14 Physical and Medical Standards for Newly

Hired Correctional Employees (11/19/96)

3. PHYSICAL STANDARDS. Incumbents of positions in correctional

institutions are considered law enforcement officers and must be

alert at all times and able to recognize and respond effectively

to emergencies. Inability to respond to an emergency may

jeopardize the security of the institution and the safety of

staff and inmates.

a. Applicants entering on duty and non-law enforcement

employees selected for a law enforcement position, after

January 1, 1997, must meet the medical guidelines and physical

standards established under the Qualification Standard for

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Positions Requiring Collateral Correctional Skills, and in the

Program Statement on Physical and Medical Standards for Newly

Hired Correctional Employees.

b. Current employees in law enforcement positions will not

normally be subject to a further physical examination. However,

employees must be able to perform the following physical

activities: *

(1) Walking for up to one hour;

(2) Standing for up to one hour;

(3) Seeing a human figure at a distance of one-fourth of

a mile;

(4) Seeing a target at a distance of 250 yards;

(5) Hearing and detecting movement;

(6) Hearing commands and radio broadcasts.

(7) Ability to use various firearms, including pistols,

rifles and shotguns;

(8) Ability to perform self-defense movements;

(9) Running an extended distance;

(10) Dragging a body an extended distance;

(11) Carrying a stretcher with one other person;

(12) Ability to smell smoke and drugs;

(13) Climbing stairs; and

(14) Lifting objects weighing 25 pounds.

* 4. ACTION BY THE MEDICAL OFFICER. Each applicant and non-law

enforcement employee shall be evaluated based on the physical

requirements for law enforcement positions and the abilities of

the individual. The Medical Officer shall determine the

individual's ability to perform the duties of the position based

on a medical history report and physical examination. The

Medical Officer shall make a recommendation to retain the

applicant for employment based upon his/her findings from the

medical evaluation.

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The selection of a non-law enforcement employee into a law

enforcement position is contingent upon a satisfactory medical

evaluation and successful completion of the Introduction to

Correctional Techniques Program. *

The procedures described herein are separate from periodic

assessments of correctional institution staff and their ability

to perform the essential functions of their positions, with or

without reasonable accommodation.

339.3 RECRUITMENT AND RELOCATION BONUSES AND RETENTION ALLOWANCES

RECRUITMENT BONUSES

1. PURPOSE AND SCOPE. To institute the Bureau's plan for paying a

recruitment bonus to a newly appointed employee when it would

otherwise be difficult to fill the position with a high quality

applicant.

2. DIRECTIVES AFFECTED.

Directives Referenced.

PS 2013.01 Financial Management - Debt Management (3/3/94)

4 CFR 102.4

5 CFR Part 575

5 U.S.C. § 5753

31 U.S.C. § 3716

5 U.S.C. § 5333

3. PROCEDURES

a. Criteria. Recruitment bonuses, up to 25 percent of the

annual rate of basic pay, may be provided to employees who are:

CNewly appointed to the Bureau (i.e., the first

appointment as a federal employee), or

CBeing appointed following a break in service of at

least 90 days.

Career experience students (formerly Co-ops), interns, and

law clerk trainees are exempt from the 90-day break in service

requirement when accepting the first permanent appointment.

The bonus is calculated on the rate of basic pay before any

deductions (such as taxes) and exclusive of additional pay of any

kind, such as locality-based comparability payments and overtime.

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However, basic pay does include a special salary rate if one has

been established for the occupation and location.

Each recruitment bonus requires a written service agreement

(Attachment 3-25) between the Bureau and the newly appointed

employee, under which the employee agrees to a minimum of 24

months of employment with the Bureau in return for a recruitment

bonus payment.

b. Review and Approval Authority. The appropriate Chief

Executive Officer must request each recruitment bonus in writing

through the Regional Director with approval from the Assistant

Director of Human Resource Management and the discipline involved

(Attachment 3-24)

* Recruitment bonus offers for attorneys must be approved by the

Deputy Attorney General or his/her designee. *

c. Requirements for Paying a Recruitment Bonus. The

requirements for paying a recruitment bonus are as follows:

(1) Each recruitment bonus must be based on a written case-

by-case determination that the candidate is highly qualified to

perform the duties of the position to be filled and the Bureau

would have considerable difficulty in filling the position with a

high quality candidate if a recruitment bonus were not paid.

These determinations must be made before the employee enters on

duty into the position for which the employee was recruited. The

written request must be sent to the Human Resource Management

Division, Staffing Section, for routing to the approving

officials prior to entrance on duty.

(2) To determine whether a recruitment bonus should be paid

or the amount of any such payment, the recommending and approving

officials must consider the following factors which must be

outlined in the written case-by-case determination:

(a) availability of funds to pay the recruitment bonus

to the candidate/employee under current consideration (regional

or institutional funding is required);

(b) the success of recent efforts to recruit high quality

candidates for similar positions, including indicators such as

offer acceptance rates, proportion of positions filled, and the

length of time required to fill similar positions;

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(d) labor-market factors that may affect the ability of

the Bureau to recruit high quality candidates for similar

positions now or in the future;

(e) special qualifications needed for the position;

(f) the candidates qualifications; and

(g) the practicality of using the superior qualifications

appointment authority provided by 5 U.S.C. 5333 and 5 CFR

531.203(b) alone, or in combination with a recruitment bonus.

(3) The recruitment bonus payment is calculated as

a percentage of the employee's rate of basic pay, not to exceed

25 percent, and is paid as a lump sum on or after the date the

employee enters on duty. The bonus is not considered part of the

employee's rate of basic pay for any other purpose. Upon

approval, an SF-52 is prepared to authorize the payroll office to

pay the bonus and to document the bonus payment in the employee's

Official Personnel Folder. *

d. Department of Justice Reporting Requirements. The

Department of Justice (DOJ) requires written documentation for

recruitment bonus pay. This documentation must be available for

the Office of Personnel Management review upon request. The

documentation must include sufficient information to clearly

justify the bonus payment, and to explain the criteria used to

determine the need for paying the bonus, and the candidate's

qualifications must be in sufficient detail to demonstrate that

he/she is highly qualified for the position.

In order to justify the recruitment bonus and to comply with

DOJ reporting requirements, all recruitment bonus requests must

be in the format outlined in Attachment 3-24.

e. Service Agreements and Pay-Back Requirements

(1) Before a recruitment bonus may be paid, the affected

employee must sign a written service agreement (Attachment 3-25)

to complete a minimum of 24 months of employment with the Bureau.

(2) Except as provided by Paragraph (3) below, an employee

who fails to complete the 24 months shall be indebted to the

Federal Government and shall repay the recruitment bonus on a pro

rata basis. The pro rata basis for repayment will be determined

as follows:

(a) if the employee completes less than one-fourth of the

agreed-upon length of service, the full bonus must be repaid.

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(b) if one-fourth or more of the service is completed,

the amount to be repaid is determined by dividing the number of

months remaining in the service agreement by the total number of

months in the service agreement, and multiplying the result by

the bonus amount.

(3) Paragraph (2) of this section does not apply if an

employee fails to complete a period of employment established

under a service agreement due to circumstances beyond the

employee's control, (i.e., disability, retirement, reduction in

force, or transfer of functions). If an employee is terminated,

repayment of the recruitment bonus is required.

(4) Movement between positions in the Bureau or components

of the DOJ does not constitute failure to complete the service

agreement. However, if an employee voluntarily moves between

DOJ components, the gaining component must reimburse the

component that paid the bonus a pro rata share determined using

the provisions in Paragraph (2) of this section.

(5) Amounts owed by an employee who fails to complete the

period of employment established under a service agreement shall

be recovered from the employee in accordance with 4 CFR 102.4,

31 U.S.C. § 3716 and the Program Statement on Financial

Management-Debt Management.

(6) The right of recovery of an employee's debt under

31 U.S.C. § 3716 may be waived in whole or in part by the

Attorney General if a determination is made that recovery would

be against equity and good conscience or against the public

interest.

RELOCATION BONUSES

* 1. PURPOSE AND SCOPE. To authorize a relocation bonus in the

amount of $10,000 for employees at the supervisory or managerial

level who relocate to the Metropolitan Detention Center,

Guaynabo, Puerto Rico or other Bureau locations the Director

deems appropriate.

2. DIRECTIVES AFFECTED

Directives Referenced

5 U.S.C. § 5753

5 CFR Part 575

3. PROCEDURES

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a. Criteria. A relocation bonus may be offered to a current

Bureau employee who relocates (to a different commuting area) to

accept a supervisory or managerial position in a hard-to-fill

location based in the determination that, absent a bonus, it

would be difficult to fill the position.

b. Review and Approval Authority. The appropriate Regional

Director must request each relocation bonus in writing. The

Director has delegated final approval authority to the Assistant

Director, Human Resource Management Division (Attachment 3-28).

c. Requirement for Paying a Relocation Bonus. The

requirements for paying a relocation bonus are as follows:

(1) Each relocation bonus must be based on a written

case-by-case determination that, absent such a bonus, the Bureau

would encounter difficulty in filling the position. This

determination must be made before the employee enters on duty in

the position to which relocated. The written request must be

sent to the Human Resource Management Division, Staffing Section

for routing and approval by the Assistant Director, Human

Resource Management Division.

(2) To determine whether a relocation bonus should be paid,

the recommending and approving officials must consider the

following factors which must be outlined in the written

case-by-case determination:

(a) the success of recent efforts to recruit candidates

for similar positions, including indicators such as:

Coffer acceptance rates,

Cthe proportion of positions filled, and

Cthe length of time required to fill the positions;

(b) recent turnover in similar positions;

the agency to recruit candidates for similar positions now or in

the future; and

(d) special qualifications needed for the position.

(3) The relocation bonus is paid as a lump sum payment

after the employee establishes a residence in the new commuting

area.

d. Department of Justice Reporting Requirements. The

Department of Justice (DOJ) requires written documentation for

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relocation bonus pay. This documentation must be available for

the Office of Personnel Management’s review upon request. The

documentation must include sufficient information to clearly

justify the bonus payment and to explain the criteria used to

determine the need for paying the bonus.

In order to justify the relocation bonus and to comply with DOJ

reporting requirements, all relocation bonus requests must be in

the format outlined in Attachment 3-28.

e. Service Agreements and Pay-Back Requirements

(1) Before a relocation bonus may be paid, the affected

employee must sign a written service agreement (Attachment 3-29)

to complete a minimum of 18 months of employment with the Bureau

in that location.

(2) Except as provided by Paragraph (3) below, an employee

who fails to complete the 18 months is indebted to the Federal

Government and must repay the relocation bonus on a pro rata

basis. The pro rata basis for repayment will determine the

amount to be repaid by providing credit for each full month of

employment the employee completed while under the service

agreement.

The amount to be repaid will be calculated by dividing the

number of months remaining in the service agreement by the total

number of months in the service agreement, and multiplying the

result by the dollar amount of the bonus.

Example: Amount of bonus = $10,000

Length of service agreement = 18 months

Number of months remaining = 3

3 months divided by 18 months = .1666

.1666 X $10,000 = $1,666.66

Amount to be repaid = $1,666.66

(3) Paragraph (2) of this section does not apply if an

employee fails to complete the period of employment established

under a service agreement because the employee is involuntarily

separated (other than for cause) or because of a written

determination by the agency head that it is necessary to relocate

the employee to a position in a different commuting area.

(4) The agency head may waive a right of recovery of an

employee’s debt under 5 U.S.C. § 5514 in whole or in part if he

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or she determines that recovery would be against equity and good

conscience or against the public interest. *

RETENTION ALLOWANCES

1. PURPOSE AND SCOPE. To authorize a retention allowance up to

25 percent of an employee's basic pay, if the employee’s

unusually high or unique qualifications or the Bureau’s special

need for the employee's services makes it essential to retain the

employee, and the agency determines that the employee would

be likely to leave absent a retention allowance.

2. DIRECTIVES AFFECTED

Directives Referenced

5 U.S.C. § 5754

5 CFR Part 575

3. PROCEDURES

a. Criteria. A retention allowance may be offered to an

employee who has completed at least 24 months of service with the

Bureau. The bonus is calculated on the rate of pay before any

deductions and exclusive of additional pay of any kind, such as

locality-based comparability payments. A retention allowance is

based on the employee's basic pay. If the employee's pay is

based on a special salary rate, it shall be used in calculating

the retention allowance.

b. Review and Approval Authority. Each retention allowance

must be approved in writing by the appropriate Executive Staff

member (Assistant or Regional Director) ( Attachment 3-26) and

forwarded to the Human Resource Management Division, Staffing

Section, who shall forward the written request to the Director

for final approval.

Annually, the local Human Resource Management office is

responsible for reviewing the justification for the employee's

retention allowance and determining whether payment is still

warranted. Once the determination is made to continue or

discontinue the retention allowance, it must be approved in

writing by the appropriate Executive Staff member (Assistant or

Regional Director) and forwarded to the Human Resource Management

Division, Staffing Section. The written request is then

forwarded to the Director for final approval.

c. Determination to Pay a Retention Allowance. The

requirements for paying a retention allowance are as follows:

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(1) Each retention allowance must be based on a written

case-by-case determination that the candidate possesses unusually

(2) To determine whether a retention allowance should be

paid and the amount of any such payment, the recommending and

approving officials must consider the following factors which

must be outlined in the written case-by-case determination:

(a) the availability of funds to pay the retention

allowance to the employee under current consideration;

(b) the extent to which the employee's departure would

affect the Bureau's ability to carry out an activity or perform a

function deemed essential to the Bureau's mission;

with qualifications similar to those the employee possesses or

for positions similar to the employee's position; and

(d) the availability in the labor-market of candidates for

employment who, with minimal training or disruption of services

to the public, can perform the full range of duties and

responsibilities assigned to the employee's position.

3. Payment of a retention allowance is calculated as a

percentage of the employee's rate of basic pay, not to exceed 25

percent, and this is paid in the same manner and at the same time

as basic pay. The aggregate of continuing payments, however, may

not exceed the rate payable for Level I on the Executive

Schedule.

Payment of a retention allowance may be continued as long as

the conditions giving rise to the original determination to pay

the allowance still exist. However, each determination to pay a

retention allowance shall be reviewed annually by the

recommending Executive Staff member and the Director and must be

certified in writing. Adjustments may be made.

Summary charts are available for recruitment and relocation

bonuses and retention allowances as a quick reference guide

(Attachments 3-22, 3-23, and 3-30).

340.1 STUDENT LOAN REPAYMENT

1. PURPOSE AND SCOPE. To institute the Bureau's plan for

repaying a student loan to a newly appointed or current employee

who has been determined to be highly qualified and, absent such

an incentive, would be difficult to recruit or retain.

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2. DIRECTIVES REFERENCED

5 U.S.C. § 5379

5 U.S.C. § 2301

5 U.S.C. § 5514

5 CFR Part 537

5 CFR Part 550

DOJ Order 2120.3B

HRSAG Systems Notice #2001-13

3. BENEFITS AND ELIGIBILITY

a. Available Benefit. A student loan repayment may be made on

all or part of an outstanding federally insured student loan(s),

* excluding late fees, up to $10,000 per calendar year. A total

benefit of $60,000 is allowed per employee. More than one loan

may be repaid as long as it does not exceed the established

limits.

The amount of the student loan repayment depends on the

availability of local funds and the locality’s anticipation or

assessment of the employee’s value and contribution to the

Bureau. Each student loan repayment requires a written service

agreement (See Section 6 and Attachment 3-32) in which the newly

appointed or current employee agrees to at least 36 months of

Bureau employment. Thirty-six months is the minimum service

agreement period for a loan repayment in any amount up to $10,000

per year (up to a maximum loan repayment of $30,000 for three

years) and may not be prorated should the service agreement be

unfulfilled. *

The student loan repayment is limited to the outstanding

indebtness when the employee enters into a service agreement.

Repayments may be made only on student loans that are not in

default. New employees must successfully complete Introduction

to Correctional Techniques prior to repayment of a student loan

to the lender.

Candidates and employees being considered for the student loan

repayment must provide written documentation (e.g., type of

student loan, current balance, etc.) from the holder of the

student loan.

Until such documentation is submitted for verification, the

Bureau cannot authorize the student repayment. The candidate or

employee is responsible for repaying any outstanding loan amounts

not covered by the loan repayment schedule and for any applicable

late fees.

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Employees who receive student loan repayments and renegotiate

the terms or conditions (e.g., repayment schedule) with the

lender must notify and provide documentation to their local Human

Resource Management (HRM) Office.

Receiving a student loan repayment does not constitute a right,

promise, or entitlement for continued employment or, if

applicable, non-competitive conversion to the competitive

service.

Participation in the Student Loan Repayment Program will be

made without regard to race, color, religion, sex, sexual

orientation, national origin, age, physical disability, marital

status, or membership in an employee organization.

b. Criteria. To be eligible for a student loan repayment,

the candidate or employee must meet the following criteria:

(1) the employee must occupy or be recruited for a position

with education requirements as established by the Office of

Personnel Management (OPM) Qualification Standards;

(2) the occupation must have a separation rate exceeding

the national average separation rate for Bureau positions as

* established by the Human Resources Executive Workforce Planning

Group; and *

(3) the difficulty in filling the position on a local level

must be demonstrated.

The student loan repayment must be based on education which has

been earned, not in progress, and that fulfills the minimum OPM

qualification requirements for the occupation. Unrelated

education is not qualifying. Advanced degrees beyond the minimum

education requirements may be considered on a case-by-case basis.

Employees who complete education while employed in a position

without an education requirement will not be eligible for a

student loan repayment until he/she obtains a position with an

education requirement that meets the above criteria.

c. Exceptions. Exceptions to the above criteria may be made

very rarely, as follows:

(1) if there is a need to employ individuals in occupations

with no education requirements who possess unique experience,

qualifications, and expertise necessary to the Bureau; and

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(2) for candidates or incumbents of education-required

positions whose separation rates are not above the national

separation rate but have extreme local recruitment or retention

problems.

d. Eligibility. Eligible or prospective employees may be in

either the competitive or excepted service (non-Schedule C) and

have a full-time or part-time schedule. They include the

following:

Cemployees in permanent positions

Ctemporary employees serving on appointments which can

be converted to term or permanent appointments (i.e.,

Career Experience),

term employees with at least three years left on their

appointments; and

Cemployees serving in excepted appointments which can be

converted to term, career, or career conditional

appointments (i.e., Career Intern, VRA).

The Student Loan Repayment Program may neither be used to

recruit an individual from another federal agency nor be used to

retain an individual who may leave for another federal agency.

e. Continuing Eligibility. To remain eligible for the student

loan repayment, the employee:

Cmust maintain a performance evaluation of at least

“fully successful,”

Cremain in the education-required occupation for which

the student loan repayment was approved, and

Ccomply with the Repayment Agreement’s conditions.

4. TYPES OF STUDENT LOANS. The following types of student loans

are eligible for payment under this program:

* CSubsidized, Unsubsidized Loans, Direct Subsidized and

Direct Unsubsidized Federal Stafford Loans;

CDirect Subsidized, Direct Unsubsidized Loans and

Federal Consolidation Loans; *

CDefense Loans;

CNational Direct Student Loans;

CPerkins Loans;

CNursing Student Loan Program Loans;

CHealth Profession Student Loan Program Loans; and

CHealth Education Assistance Loan Program Loans.

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5. PAY ADMINISTRATION AND TAXES. Student loan repayments can:

!be used in conjunction with other recruitment and retention

incentives;

!are not considered part of the employee's rate of basic pay

for any other purpose; and

!are subject to the aggregate limitation on pay.

6. SERVICE AGREEMENTS AND PAY-BACK REQUIREMENTS. Before a

student loan repayment may be paid, the candidate or employee

must sign a Student Loan Repayment Agreement (Attachment 3-32) to

complete a minimum of 36 months of employment with DOJ,

beginning on the date of the first repayment. The maximum

* allowable amount for 36 months is $30,000 ($10,000 per calendar

year).

For repayments beyond the 36 months, the employee must sign a

supplemental Student Loan Repayment Agreement (Attachment 3-32)

to complete a minimum of 12 months of employment with DOJ for

each whole increment of $10,000, not to exceed a total maximum

repayment of $60,000. Repayments less than $10,000 (beyond the *

36 months) will not necessitate a supplemental Agreement.

The Repayment Agreement must reflect the student loan repayment’s

terms and conditions, including the amount of money authorized

and the time frame covered.

An employee who fails to complete at least 36 months of DOJ

service as the initial Repayment Agreement established or 12

months of DOJ service under a supplemental Repayment Agreement

must be indebted to the federal government and must repay all

student loan repayments received under the relevant agreement.

If an employee leaves the Bureau voluntarily or is separated

involuntarily, no further loan repayments will be made under the

Repayment Agreement’s terms. If an employee moves to another DOJ

component during the agreement’s term, the employee will not be

required to reimburse the Bureau for loan repayments already

made.

Repayment is required for any of the following:

!Voluntary separation or transfer from DOJ for another

federal agency, unless the receiving federal agency

authorizes reimbursement to the Bureau in its service

agreement.

!Voluntary separation from DOJ for reasons other than

employment in another federal agency.

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!Involuntary separation due to performance or misconduct.

The Attorney General may waive the right of recovery of an

employee's debt under 5 U.S.C. § 5514 in whole or in part if it

is determined that recovery would be against equity and good

conscience or against the public interest.

Amounts owed by an employee who fails to complete the period of

employment established under a Repayment Agreement must be

recovered from the employee in accordance with 5 U.S.C. § 5514

and 5 CFR, part 550, subpart K, Program Statement on Financial

Management-Debt Management and DOJ Order 2120.3B.

7. APPROVING OFFICIAL’S DETERMINATION ON REPAYING A STUDENT

LOAN. Each student loan repayment must be based on a written

case-by-case determination by the approving official that

includes:

a. an explanation of the difficulty the Bureau would face in

filling a position with a highly-qualified candidate absent a

student loan repayment; or retaining a highly-qualified employee,

who would likely leave for employment outside the federal service

and such departure would impact activities or functions deemed

essential to the agency;

b. a description of the employee’s high or unique

qualifications or the special need for the employee’s services,

as applicable;

c. the criteria used to determine the amount of repayment; the

minimum repayment amount needed to ensure the acquisition or

retention of the employee’s services; and the term of the service

agreement; and

d. an explanation of the extent to which other available

recruitment or retention incentives were considered or offered.

The Chief Executive Officer must request each student loan

repayment in writing through the Regional Director, who will

approve or disapprove the request. If the request is approved,

it is forwarded to the Assistant Director of the Human Resource

Management Division (HRMD) and the Assistant Director over the

discipline involved (Attachment 3-31) for final approval.

The Bureau General Counsel, with concurrence from the Assistant

Director, HRMD, must approve student loan repayments for

attorneys and law clerks.

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* Upon approval, the servicing HRM Office must file a copy of the

approval memo, signed agreement, and printed copy of the

processed payment retrieved from the Special Payroll Processing

System for Windows on the left side of the Official Personnel

Folder. See Section 9. National Finance Center (NFC)

Requirements regarding the use of the Special Payroll Processing

System for Windows.

The Chief Executive Officer, or designee, is responsible for

initiating payment, upon approval, for the first three years of

eligibility up to the accumulated sum of $30,000. After the

third year, the determination to extend the student loan

repayment beyond the $30,000 payment will require a new *

Repayment Agreement and a brief certification statement from the

servicing HRM Office that all previous eligibility requirements

are still being met. The Regional Director must approve a

determination to continue or discontinue a student loan repayment

and have it forwarded to the HRMD Staffing Section, for

concurrence with the Assistant Director, HRMD.

For regional office positions, the above steps apply, with the

request originating with the Regional Director and sent to the

Assistant Director, HRMD for concurrence with the Assistant

Director of the discipline involved. For Central Office

positions, the above steps apply, with the request originating

with the Assistant Director and sent to the Assistant Director,

HRMD, as applicable.

For candidates recruited and offered a new appointment, approving

officials must approve the student loan repayment before the

employee enters on duty.

Records justifying student loan repayments must be maintained for

three years following final approval.

8. CRITERIA FOR PAYMENT. The recommending and approving

officials will consider the following factors, as applicable:

!the candidate’s or employee’s qualifications;

!funds available for repayment;

!the success of recent efforts to recruit/retain candidates

with qualifications similar to those the employee possesses;

!the availability in the labor-market of candidates for

employment who, with minimal training or disruption of

mission accomplishment, can perform the duties and

responsibilities of the employee’s position;

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!the relative advantages and disadvantages (both for the

Bureau and the employee) of repaying student loans, as

compared with other available recruitment or retention

incentives;

!the need to maintain a balanced workforce in which women and

members of racial and ethnic minority groups are

appropriately represented.

9. NATIONAL FINANCE CENTER (NFC) REQUIREMENTS. Employees

receiving this benefit are responsible for submitting the lending

institution’s electronic fund transfer (EFT) routing number and

loan account number to the HRM Office. Prior to submitting this

information to NFC, HRM Offices must verify the outstanding

student loan balance and lending institution account number.

* HRM Offices must process the student loan repayment through the

Student Loan Repayment Window on the Special Payroll Processing

System for Windows (SPPSWIN). The effective date of payment will

start the beginning date of the service agreement for the

employee. Upon processing, the payment will be forwarded to the

lending institution through EFT. If the employee elects payment

other than on annual basis (e.g., semi-annual or quarterly), the

HRM Offices will be responsible for maintaining a tickler or

other file record to remind them to key these requests. *

The employee’s Federal income tax withholding rate in effect at

NFC will be applied if it is less than the 28% Federal tax rate.

If not, the 28% Federal tax rate will be applied.

Employees interested in having their student loan repayment

disbursed annually, semi-annually, or quarterly to the lending

institution should indicate their preference in the Repayment

Agreement. The HRM Office must notify NFC of the payment

arrangement.

Annually, HRM Offices must verify outstanding loan account

balances and determine the account is not in default, thus

ensuring proper payment by NFC. For further guidance on NFC

procedures, refer to HRSAG Systems Notice #2001-13.

10. DEPARTMENT OF JUSTICE REPORTING REQUIREMENTS. The Staffing

Section, HRMD, must submit a DOJ-required annual student loan

repayment report to DOJ on November 15. This documentation must

be available for OPM review upon request and include sufficient

information to clearly justify the student loan repayment.

Morever, it must explain the criteria used to determine the need

for repayment and describe the candidate's qualifications in

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sufficient detail. To justify the student loan repayment and to

comply with DOJ reporting requirements, all requests must be in

the format outlined in Attachment 3-31.

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CHAPTER 4

410.1 TRAINING AGREEMENTS

1. PURPOSE AND SCOPE. To describe the Bureau of Prisons'

training agreements.

2. DIRECTIVES AFFECTED

Directive Referenced

FPM Chapter 337

3. PROCEDURES

a. The Department of Justice has approved training agreements

for Physician Assistants. Under the terms of these agreements, a

Physician Assistant may be promoted from GS-7 to GS-9 or from GS-

9 to GS-11 after satisfactory completion of a six-month training

program. Employees serving on temporary appointments are not

eligible for accelerated promotions. The training agreement is

included as Attachment 4-1 to this chapter of the manual.

b. Satisfactory completion of the training program will be

certified by the employee's department head and the Human

Resource Manager before the employee is promoted to the next

grade level. The certification forms are included in Attachment

4-1. One copy of the certification will be filed on the left

side of the Official Personnel Folder and one copy will be

forwarded to the Employee Development Manager for documentation

of the employee's training record. Accelerated promotions based

on training agreements will be documented on the SF-50 with the

remarks code E37 showing that the employee satisfactorily

completed training prescribed under an OPM-approved training

agreement.

c. Employees who have received an accelerated promotion based

on a training agreement are eligible for subsequent promotions

based on the "add-on rule" described in FPM Chapter 337 and the

OPM Qualifications Handbook. Qualifications rating sheets for

subsequent promotions following an accelerated promotion will

include a remark to document the employee's eligibility for

promotion based on the "add-on rule."

430.1 PERFORMANCE EVALUATION PROGRAM FOR BARGAINING UNIT

EMPLOYEES

1. PURPOSE AND SCOPE. The objectives of the performance

evaluation program are to help improve performance, strengthen

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supervisor-employee relationships and communications, identify

and inform employees of work requirements and standards,

recognize employee accomplishments and good work, identify and

correct work deficiencies, and guide personnel actions such as

within-grade and quality step increases, promotions, demotions,

removals, reassignments, performance awards, and training.

2. DIRECTIVES AFFECTED

Directives Referenced

a. P.S. 3451.02 Awards Program, Incentive Awards, Bureau

of Prisons (06/13/89)

b. FPM Chapters 430, 432.

* c. 5 CFR 293, 430, 451, 531 and 771. *

d. 5 U.S.C., Chapters 43 and 45.

3. TOPICS COVERED

Purpose

References

Coverage

Responsibilities

Basic Program Requirements

Rating Period

Job Elements and Performance Standards

Issuing Performance Standards

Monitoring Performance - Performance Log

Progress Review

Final Rating

Final Discussion

Filing and Disposition of Performance Logs and Rating Forms

Probationary Employees

Informing Supervisors and Employees

Performance Rating appeals

Relationship to Within-Grade-Increases

Quality Step Increases and Performance Awards

Addressing Deficient Performance

Minimally Satisfactory Performance

Unacceptable Performance, and

Proposing and Taking Action Based on Unacceptable

Performance

4. COVERAGE. This section applies to all employees in the

bargaining unit except those serving under appointments of less

than 90 days.

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5. RESPONSIBILITIES

a. The Assistant Director, Human Resource Management Division,

is responsible for the overall administration of this program.

b. The Federal Bureau of Prisons Personnel Director is

responsible for ensuring that the performance evaluation program

is carried out throughout the system in compliance with current

laws and regulations.

c. Chief Executive Officers are responsible for ensuring that

there is an effective performance evaluation program at their

level of the organization.

d. The Approving Official for outstanding performance ratings

is the Chief Executive Officer for institution and regional

office staff or the appropriate Assistant Director for Central

Office staff. The approving official must be at least two

supervisory levels above the employee being rated.

e. The Reviewing Official is the next supervisor above the

rating official and is responsible for assigning an overall

rating and approving or adjusting individual element ratings.

Reviewing officials are also responsible for monitoring the

performance appraisal practices of subordinate supervisors and

providing advice or instruction as needed. Reviewing officials

ensure that recommendations for incentive awards based on

performance ratings are consistent with policy and determine

whether recommendations for outstanding performance ratings will

be forwarded to the approving official.

f. The Rating Official is the first level of management having

the full range of supervisory responsibilities, including

recommending performance awards. Rating officials are

responsible for maintaining the employee's performance log,

conducting progress reviews and completing the annual performance

rating in accordance with the procedures in this section.

g. Employees are responsible for becoming familiar with the

objectives and procedures of the performance evaluation program

and for understanding the elements and performance standards for

their positions. The employee is responsible for seeking

clarification from the supervisor on any performance standard or

any other aspect of this program which is not clear. The

employee should inform the supervisor of any factors or

circumstances which the employee believes should be considered in

evaluating his/her performance.

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h. Human Resource Managers are responsible for providing

training, advice and assistance to employees and supervisors on

this program. They are also responsible for maintaining adequate

supplies of the rating forms and performance standards for

distribution to supervisors.

i. Local Procedures. Specific procedures and responsibilities

for initiating the issuance of performance standards, monitoring

changes in performance standards and rating periods, maintaining

rating forms during the rating period, recommending training and

incentive awards based on performance ratings and other aspects

of this program not described in this section are left to the

discretion of the local Chief Executive Officer. Institutions

and offices should develop written procedures to ensure that the

requirements of this program are fully implemented.

6. BASIC PROGRAM REQUIREMENTS. The basic structure of the

performance evaluation program is outlined below and is described

in detail in subsequent sections.

a. At the beginning of the rating period, the rating official

gives the employee a copy of the performance standards for their

position and discusses them. Both the employee and rating

official sign the rating form, indicating that the discussion has

taken place.

b. Throughout the rating period, the rating official makes

entries in the employee's performance log. Each element of the

performance standards must be addressed at least once each

quarter. The rating official discusses each entry in the

performance log with the employee as it is made. Entries in the

performance log serve as the basis for the progress review and

final rating.

c. Halfway through the rating period, the rating official

completes a written progress review and discusses it with the

employee. Both the employee and rating official sign the

progress review section of the rating form.

d. At the end of the rating period, the rating official

evaluates each element of the performance standards, assigns an

adjective rating to each element and forwards the rating to the

reviewing official. The reviewing official approves or adjusts

the individual element ratings, assigns an overall rating (and

forwards the rating to the approving official in the case of

outstanding ratings) and returns the rating to the rating

official for discussion with and signature by the employee.

Except in unusual circumstances, employees must receive their

performance rating within three weeks after the end of the rating

period.

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e. An employee must have worked under a set of performance

standards for a minimum of 90 days before receiving a rating

based on those standards. A rating official must have supervised

an employee for a minimum of 90 days before he or she can rate

the employee. These 90-day requirements apply only to final

ratings, not to progress reviews. There is no minimum time

requirement before a reviewing official can review a rating.

7. RATING PERIOD. The rating period for non-probationary

employees begins on April 1 each year and ends March 31 the

following year, except as provided below:

a. If an employee changes positions which results in a change

of performance standards, their rating period begins on the date

of the change and ends on March 31, or 90 days after the date of

the change, whichever is later.

b. If an employee changes supervisors, their rating period

does not end until they have been under the same supervisor for

at least 90 days.

c. If a rating period is extended past March 31 in order to

meet one or both of the conditions described above, then the

employee's next rating period starts on the day after the above

conditions are met and ends on March 31 the following year.

d. The rating period for a probationary employee starts on the

effective date of their appointment and ends one year later.

Their next rating period starts on the day after their probation

ends and ends on March 31 the following year.

8. JOB ELEMENTS AND PERFORMANCE STANDARDS

a. Common job elements and performance standards have been

developed for all occupations within the Bureau of Prisons.

Elements and standards are issued on pre-printed forms, making it

unnecessary to type the elements and standards on the rating

form. Rating officials must review these standards and delete

any element which is clearly not applicable to a particular

position. Rating officials may also develop one additional

element with standards and tasks to meet unique or unusual

responsibilities for a particular position, however, since all

job elements are critical, these responsibilities must be

substantial and highly important to the position. If such an

element or standard is developed, it must be reviewed and

approved for use by the Bureau Personnel Director. Once an

element and standard are approved for use, it will be typed on

the preprinted elements and standards which apply to that

position.

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b. A job element is an aspect of the position consisting of

one or more duties or responsibilities which is sufficiently

important that inadequate performance of the element would result

in unacceptable performance in the position. All job elements

are critical.

c. A performance standard is a statement of the expectations

or requirements established by management for an element at a

particular rating level. A performance standard may include

factors such as quality, quantity, timeliness and manner of

performance.

d. Tasks are examples of job duties that are representative of

a job element under the performance standards. Not all tasks

described under an element are applicable to all occupations

covered by that performance standard. The tasks described in the

performance standards are examples of typical duties which would

be performed in that job element.

e. The performance appraisal program allows for rating

individual elements, as well as overall performance, at one of

five levels. The performance standards and tasks are described

at only three levels. Rating officials may infer performance at

one of the levels not described by comparing the employee's

actual performance to the levels which are described. For

example, if an employee's performance is better than the examples

given for the "fully successful" level, but does not meet the

examples given for the "outstanding" level, the employee's

performance should be rated at the "exceeds" level.

9. ISSUING PERFORMANCE STANDARDS. At the beginning of the

rating period, the rating official will discuss the elements,

standards and tasks for the position with the employee. This

discussion should take place as soon as possible after the start

of the rating period, normally within 30 days. The rating

official and employee will sign and date the rating form,

certifying that the elements and standards are understood. If a

new element and standards are added during the rating period (or

if an element is deleted), the rating official and employee will

again discuss them and sign and date the rating form. If the

rating official changes during the rating period but there is no

change in performance elements and standards, it is not necessary

for the new rating official to review the standards with the

employee or sign the rating form, however, rating officials are

always responsible for discussing performance standards and

responding to employees' requests for clarification of the

standards.

If an employee is detailed or temporarily promoted to another

position in the Bureau of Prisons and the assignment is expected

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to last at least 90 days, the employee will be given the

performance standards for the temporary assignment within 30 days

of beginning the detail or temporary promotion. An interim

rating will be prepared at the end of the detail or temporary

promotion and the weight given to this interim rating will be

proportional to it's share of the total appraisal period.

If an employee is detailed outside the Bureau of Prisons,

reasonable efforts will be made to obtain appraisal information

from the outside organization which shall be considered in

arriving at the employee's rating of record. If the employee has

served in the Bureau for the minimum time period, the employee

must be rated. The rating will take into account appraisal

information obtained from the borrowing organization. If the

employee has not served in the Bureau for the minimum time

period, but has served the minimum time period in the outside

organization, reasonable efforts will be made to prepare a rating

based on the appraisal information from the borrowing

organization or the rating will be deferred until the employee is

able to serve the minimum time period in the Bureau or the

borrowing organization is able to provide appraisal information.

If an employee transfers to the Bureau from another agency, any

summary ratings which are forwarded from the former agency and

which cover the same time period as the Bureau's rating period

will be considered in arriving at the employee's rating of

record. The weight given to a rating from a former agency will

be proportional to the share of the rating cycle covered by it.

The rating of record most recently rendered by the former agency

will be the employee's current rating of record until it is

superseded by a rating of record issued by the Bureau.

10. MONITORING PERFORMANCE - PERFORMANCE LOG. The performance

appraisal process requires that rating officials observe and note

employee performance continuously throughout the rating period.

Rating officials must record examples of employee performance to

ensure that the rating at the end of the rating period is an

accurate and fair appraisal of the employee's performance during

the whole rating period. The performance log is used to document

and substantiate the final rating.

a. Format. Attachment 4-2 is a sample performance log,

although, any form the rating official finds useful, including 5

x 8 cards, is acceptable.

b. Time Requirements. The rating official must record

performance incidents in the log so that each element is

addressed at least once each quarter. If no significantly

positive or negative performance is noted for a particular

element during a quarter, the rating official will make an entry

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describing typical performance over the course of the quarter.

Rather than waiting until the end of the quarter, rating

officials must make entries in the log as the performance is

noted in order to meet the following time requirements. Rating

officials must record specific incidents in the performance log

within fifteen working days of becoming aware of the incident.

After an entry has been made in the performance log, the

employee will be given an opportunity to see the entry as soon as

practicable and before the entry is used officially, but no later

than fifteen working days after the entry is made. The employee

will be asked to initial the entry, indicating only that the

entry was discussed, not necessarily that they agree with it.

These time requirements may be adjusted, if necessary, because of

the rating official's or employee's absence.

c. Content of Performance Log Entries. Performance log

entries will document instances of important or significant job-

related performance, both positive and negative. Log entries

must document the actual behavior of the employee, not

personality traits or judgmental conclusions drawn by the

supervisor. Instances of performance recorded in the log must be

related to one or more elements of the employee's performance

standards and include, at a minimum:

(1) the date of the performance incident,

(2) what the employee did that was particularly effective

or ineffective,

(3) circumstances surrounding or contributing to the

performance incident such as the consequences of the

performance, whether the employee had sufficient time

and resources or whether circumstances outside the

employee's control contributed to the performance,

(4) level of performance assigned.

d. Multiple Supervision. If an employee is supervised by more

than one supervisor during the rating period, those supervisors

are responsible for providing the rating official with any

comments or incidents for consideration for inclusion in the

performance log. This provision does not apply to employees who

are detailed to another supervisor for 90 days or more and who

receive new standards and an interim rating in accordance with

paragraph 9 of this section.

e. Documenting Unacceptable Performance. Instances of

unacceptable performance recorded in the performance log require

additional actions by the supervisor. Refer to Paragraph 22 of

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this section for information on addressing unacceptable

performance.

11. PROGRESS REVIEW. In addition to the frequent informal

discussions of performance resulting from performance log

entries, the rating official will conduct at least one formal

progress review during the rating period.

a. One progress review is required for non-probationary

employees and it will be conducted at the halfway point of the

rating period.

b. Three progress reviews are required for probationary

employees and they will be conducted at the end of the third,

sixth and ninth months of the probationary year.

c. The rating official will make narrative comments for each

job element in the progress review section of the performance

appraisal form. No adjective rating is assigned to the elements

at this time. The rating official will discuss the progress

review with the employee and both will sign the form at the

bottom of the progress review section. There is no provision or

requirement for the reviewing official to review or comment on

the progress review, however, reviewing officials may examine the

progress reviews prepared by their subordinate supervisors.

d. Progress reviews and the annual rating for probationary

employees require two performance appraisal forms. One form is

used to record the 3-month and 6-month progress reviews and a

second form is used for the 9-month progress review and annual

rating. Rating officials must ensure that a probationary

employee signs the top of both forms, indicating their

understanding of their performance standards and that they sign

the bottom of the form upon completion of each of the progress

reviews and the annual rating. The rating official does not

assign adjective ratings for any of the probationer's progress

reviews; adjective ratings are assigned to the elements only for

the final rating at the end of the probationary period.

Likewise, there is no provision or requirement for the reviewing

official to review or comment on the 3-month, 6-month or 9-month

progress reviews of probationary employees, however, rating

officials may examine the progress reviews prepared by their

subordinate supervisors. The reviewing official assigns the

overall rating and makes narrative comments on the final annual

rating of a probationary employee.

12. FINAL RATING

a. Determining Element Ratings

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(1) The rating of an employee's performance in each job

element is based upon the incidents recorded in the

performance log.

(2) Each element will be rated at one of five levels:

Unacceptable, Minimally Satisfactory, Fully Successful,

Excellent or Outstanding.

(3) Each element will be rated at the level which reflects

the level assigned to the majority of performance log

entries for that element. If there are an equal number

of performance log entries at two different levels, the

rating official may assign either of the two levels

unless there is an intermediate level or levels. For

example, if two log entries are "fully successful" and

two are "excellent," the rater may assign either "fully

successful" or "excellent" as the element rating. If

two log entries are "fully successful" and two are

"outstanding," the rater must assign "excellent" as the

element rating.

(4) Special provisions apply when rating an element as

unacceptable. Refer to Paragraph 22 of this section

for the procedures for documenting unacceptable

performance.

(5) The rating official will mark the block on the rating

form which reflects the adjective rating for each

element, write narrative comments in the space provided

for each element and write narrative comments on the

employee's overall performance in the "rater's

comments" section of the form. Rating officials are

also encouraged to complete the training and career

development section of the form with recommendations

for training or other developmental activities.

(6) For dual or multiple supervision, all supervisors of 90

days or more should provide input into the rating

process and initial the rating form as rating

officials. Reviewing officials may also seek input

from supervisors of lesser periods of time.

b. Overall Rating

(1) The overall rating is assigned by the reviewing

official, based on the individual element ratings.

Reviewing officials assign the overall rating by

marking the appropriate block and writing narrative

comments in the "reviewer's comments" section of the

form.

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(2) Except in the case of outstanding ratings, the rating

assigned by the reviewing official is the final rating.

If the proposed rating is outstanding, the Chief

Executive Officer or Assistant Director is the

approving official. Reviewing officials must adjust

individual element ratings to be consistent with the

overall rating, however, any such changes by the

reviewer must be substantiated by the comments in the

reviewing official's block on the rating form.

(3) Unacceptable performance in one or more elements

mandates an overall rating of unacceptable.

(4) An overall rating of minimally satisfactory is

demonstrated by minimally satisfactory performance in

more than one element and no element rated as

unacceptable.

(5) An overall rating of fully successful is demonstrated

by a rating of fully successful or higher in a majority

of the elements, no more than one minimally

satisfactory element and no unacceptable element.

(6) An overall rating of excellent is demonstrated by a

rating of excellent or higher in a majority of the

elements and no element rated less than fully

successful.

(7) An overall rating of outstanding is demonstrated by a

rating of outstanding in a majority of the elements and

no element rated less than excellent. When an

outstanding rating is approved by the approving

official, the rating official must also recommend the

granting of additional recognition in the form of a

cash or non-cash award or a quality step increase for

those employees who are otherwise eligible. Refer to

the Incentive Awards Manual for the criteria for

performance awards.

(8) In the event of an equal number of element ratings, the

reviewing official has full discretion in approving the

overall rating that best reflects the employee's

performance.

* 13. FINAL DISCUSSION. After the reviewing official has approved

the final rating (and the approving official has approved an

outstanding rating), the rating form is returned to the rating

official for discussion with the employee. No rating will be

discussed with the employee until after the reviewing official

and, if necessary, the approving official, has approved the final

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rating. The rating official should give adequate time and

attention to this part of the evaluation process, reviewing with

the employee the strengths and weaknesses noted in the

performance appraisal. Rating officials are strongly encouraged

to specify areas in which their employees should seek out

training, education, or other developmental activities to improve

skills and/or knowledge or enhance career advancement and

promotion potential (using Section H on the appraisal form for

this purpose). The employee will sign the bottom of the form

indicating that the performance rating has been discussed and the

employee will receive a copy of the rating. The original copy of

the rating, with signatures, will be returned to the HRM office

for recording and filing. This is also an appropriate

opportunity to review the performance standards for the next

rating period and obtain the rater's and employee's signatures on

the blank form which will be used for the next rating period. *

14. FILING AND DISPOSITION OF PERFORMANCE LOGS AND RATING FORMS

a. Distribution instructions for the rating form are printed

on the form.

b. The original, signed copy of a completed rating form,

including continuation sheets, will be filed in the HRM office,

either in the employee's individual Employee Performance File or

on the left side of the employee's Official Personnel Folder. A

copy of the employee's performance standards may be filed with

the rating form or may be maintained in a separate master file of

performance standards.

* c. Completed performance ratings will be retained for four

years and will be forwarded to a gaining agency in the event of

the employee's transfer. *

d. Rating officials will retain the performance log for one

year after the performance rating based on the log is approved.

e. If a rating is increased or changed as a result of a

successfully pursued grievance or other proceeding, the amended

rating will be filed and the contested rating removed and

destroyed.

f. The final adjective rating will be keyed into the NFC

system, in accordance with instructions in the Payroll/Personnel

Processing Manual.

15. PROBATIONARY EMPLOYEES

a. The probationary period is an extension of the examination

and selection process and provides an opportunity for management

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to assess the total suitability of new employees. It is the

policy of the Federal Bureau of Prisons to provide probationary

employees with an intensive program to ensure that they are

provided with direction in their jobs and are capable of

performing effectively.

b. Probationary employees receive formal progress reviews

immediately following the third, sixth and ninth months of

employment, as described in paragraph 11 of this section.

c. The supervisor of a probationary employee must, no earlier

than the beginning of the fourth month and no later than the end

of the tenth month of probation, submit a signed certification

that the employee's performance and conduct have been found

satisfactory or that the employee's performance and conduct have

been found unsatisfactory. The certification must include a

recommendation as to whether the employee should be retained

beyond the probationary period. The earlier progress reviews

form the basis for this certification and recommendation as to

retention. A probationary employee may be separated after the

tenth month following a positive certification and recommendation

if performance or conduct deteriorate.

d. Failure to meet the standards of performance and

satisfactorily complete training will be a basis for

disqualifying an employee during the probationary period. No

part of this section is to be interpreted as discouraging or

preventing the initiation of removal action at any time during

the probationary year if it is determined, after a full and fair

trial, that the employee's performance or conduct is not

satisfactory. Employees in the competitive service who are

serving a probationary period are excluded from the provision of

FPM Chapter 432 governing performance-based reduction in grade

and removal actions.

16. INFORMING SUPERVISORS AND EMPLOYEES. In recognition of the

importance of the performance appraisal program and its

significance to both supervisors and employees, a copy of this

section of the manual will be provided to all bargaining unit

employees upon its issuance and to new bargaining unit employees

when they enter on duty. In addition, the Human Resource Manager

will ensure that all current rating and reviewing officials

receive a copy of this section and will give new rating and

reviewing officials a copy when they assume such a position.

Human Resource Managers are responsible for providing advice and

assistance to supervisors on all aspects of this program and are

encouraged to conduct periodic formal training to review the

purposes and procedures of performance appraisal.

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Supervisors are responsible for discussing the performance

evaluation program with their subordinates, including explaining

the purpose of the program, rating procedures and how the process

furthers employee and management goals.

17. PERFORMANCE RATING GRIEVANCES. Bargaining unit employees

may seek to change their performance ratings by using the

negotiated grievance procedure contained in the Master Agreement.

18. RELATIONSHIP TO WITHIN-GRADE INCREASES. To be eligible for

a within-grade step increase, an employee must meet the

requirements described in 5 CFR 531.404 (General Schedule) or 5

CFR 532.417 (Prevailing Rate System). One of these requirements

is that the employee must demonstrate an acceptable level of

competence in the duties and responsibilities of their position.

Acceptable level of competence is determined by the employee's

most current rating of record being an overall rating of fully

successful or higher. The rating of record used as the basis of

a within-grade increase determination must have been assigned no

earlier than the most recently completed appraisal period. If a

decision to grant or deny the within-grade increase is

inconsistent with the most recent rating of record, a more

current rating of record must be prepared. If the employee's

most recent rating of record is fully successful or higher and

the performance has deteriorated below an acceptable level of

competence, a new rating of record must be prepared on which to

base the decision to deny the increase. Similarly, if the most

recent rating of record was below fully successful and the

performance has improved to an acceptable level of competence, a

new rating of record must be prepared on which to base the

decision to grant the increase.

A supervisor who determines that an employee does not or may not

demonstrate an acceptable level of competence will notify the

employee in writing at least 60 days before the date on which the

employee will complete the required waiting period for a within-

grade increase. At least 15 days prior to the end of the waiting

period, the supervisor will tentatively determine whether

withholding the increase is warranted. If the employee fails to

demonstrate an acceptable level of competence, the next higher

supervisory level will review the supervisor's tentative

determination. If both supervisors agree to withhold the

increase, the immediate supervisor will so advise the employee in

writing, stating the reasons for withholding the increase and

referring to the advance notice given to the employee.

General Schedule employees are entitled to request

reconsideration of a decision to withhold a within-grade increase

and to present orally and in writing the reasons he/she believes

the decision should be reversed. If the decision is to grant the

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increase, the employee will be certified as meeting the

acceptable level of competence and the increase will be granted

retroactively as of the end of the waiting period.

General Schedule and Federal Wage System employees may contest a

performance rating on which a negative determination is based

under the negotiated grievance procedure contained in the Master

Agreement.

19. QUALITY STEP INCREASES AND PERFORMANCE AWARDS. Refer to the

Incentive Awards Manual for eligibility criteria for Quality Step

Increases and performance awards.

20. ADDRESSING DEFICIENT PERFORMANCE. Addressing performance

deficiencies and taking performance-based actions appropriately

are important aspects of a sound performance management system.

Procedures and requirements for addressing performance which

falls below the fully successful level are discussed in the

following paragraphs.

21. MINIMALLY SATISFACTORY PERFORMANCE. When instances of

performance or overall performance is deemed to be minimally

satisfactory, the supervisor should determine what action is best

suited to the particular circumstances after discussion with the

employee. Counseling, training and closer supervision are the

most commonly practiced options available. These efforts should

be thoroughly documented. If minimally satisfactory performance

continues, the supervisor has the option of continuing

counseling, training or closer supervision or finding that the

employee's performance has become unacceptable.

22. UNACCEPTABLE PERFORMANCE. These procedures will be followed

at any time during the rating cycle when a supervisor records an

instance of unacceptable performance in one or more elements of

the performance standards in the employee's performance log.

a. Unacceptable Performance Warning. When a supervisor

records an instance of unacceptable performance, he/she will

issue the employee a written warning of a potentially

unacceptable performance rating. This warning letter must

include:

(1) Notification of the element or elements in which

performance is unacceptable.

(2) Specific examples of the unacceptable performance.

(3) The performance requirements or standards which must be

attained in order to demonstrate acceptable

performance. The acceptable level of performance for

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purposes of retention in the position under the

Bureau's five-level performance appraisal system is the

level between the "unacceptable" level and the "fully

successful" level, specifically performance which is

"minimally successful".

(4) An reasonable opportunity period to demonstrate

acceptable performance on the elements at issue. This

opportunity period will normally not be less than 30

days nor more than 90 days following the issuance of

the warning letter and will be determined under the

circumstances of the particular case. The initially

established period may be extended at the agency's

discretion for extenuating circumstances such as

extended periods of absence during the opportunity

period.

(5) Notice that the employee must improve to the acceptable

level by the conclusion of the opportunity period and

must sustain that level of performance for at least one

year from the start of the opportunity period.

(6) A structured performance improvement plan (PIP) to

provide the employee opportunities to demonstrate

acceptable performance. The PIP may include such

activities as developmental assignments, structured

employee assistance or counseling, formal training, on-

the-job training, mentoring or any other activity which

the supervisor believes will afford the employee an

opportunity to demonstrate acceptable performance.

Careful records must be kept of assistance offered and

results achieved under the PIP.

(7) Explanation of actions which may be initiated if the

unacceptable performance continues or if acceptable

performance is not demonstrated.

Human Resource Managers will assist supervisors in

preparing performance warning letters. Warning letters

must be approved by the Regional HRM Office and the LMR

Section before being issued to the employee.

b. Improved Performance During the Opportunity Period. If, at

the conclusion of the opportunity period, the rating official

determines that the employee has improved to an acceptable level

in the element which formed the basis for the opportunity period,

no further action will be taken. When it is time for the annual

rating, the rating official will consider the instance of

unacceptable performance along with other recorded instances of

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performance for that element and give it appropriate weight in

assigning the rating for that element.

c. Additional Unacceptable Performance During the Opportunity

Period. If, at the conclusion of the opportunity period, the

rating official determines that the employee has not improved to

an acceptable level in the element which formed the basis for the

opportunity period, then the rating official will prepare a

performance rating, whether or not it is time for the annual

rating. The element will be rated unacceptable and the proposed

overall rating will be unacceptable.

(1) If it is not time for the annual rating and the

reviewing official does not concur with the proposed

unacceptable rating, then no rating will be issued.

However, if at any time during the remainder of the

rating period the supervisor notes another instance of

unacceptable performance in the same element, he/she

will again propose an unacceptable rating.

(2) If it is time for the annual rating and the reviewing

official does not concur with the proposed unacceptable

rating, then the reviewing official's rating is the

final rating. The reviewing official must adjust the

individual element ratings to support the overall

rating given and substantiate these changes in the

reviewing official's comments on the rating form.

(3) Whether it is time for the annual rating, if the

reviewing official concurs with the proposed

unacceptable rating, then an unacceptable rating will

be issued together with a notice of proposed action in

accordance with paragraph 23 of this section.

d. Additional Unacceptable Performance During the Twelve

Months Following the Beginning of the Opportunity Period. In

order to demonstrate acceptable performance following a

performance warning letter, employees are required to improve

their performance to an acceptable level and sustain that level

of performance for twelve months following the beginning of the

opportunity period. Therefore, if a supervisor notes

unacceptable performance in the same element which formed the

basis for the warning letter at any time during the twelve months

following the beginning of the opportunity period, he/she will

prepare a proposed unacceptable rating as described in Paragraph

22c. above. This is the case even if the employee did

demonstrate acceptable performance during the opportunity period

and/or received a performance rating of minimally successful or

better since the issuance of the warning letter.

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23. Proposing and Taking Action Based on Unacceptable

Performance. When the reviewing official approves and issues an

unacceptable performance rating, the reviewing official will also

issue a notice of proposed action in accordance with the

following procedures:

a. An employee who receives an unacceptable rating may be

reassigned.

b. A non-probationary employee whose reduction in grade or

removal is proposed is entitled to:

(1) Thirty calendar days advance written notice which

specifies the action proposed, the specific instances

of unacceptable performance on which the proposed

action is based and the elements involved in each

instance of unacceptable performance. These instances

must have occurred within one year prior to the notice

of proposed action;

(2) The right to be represented by an attorney or other

representative;

(3) Fifteen calendar days to respond orally and/or in

writing to the deciding official. The response time

may be extended for a specified time as determined by

the deciding official, but not for more than an

additional thirty days; and

(4) A final written decision within 30 days after the

expiration of the 30-day advance notice period. The

written decision must specify the instances of

unacceptable performance upon which the action is based

and may include any instances of unacceptable

performance which occurred during the one-year period

prior to the issuance of the advance notice. An action

may be based solely on instances of unacceptable

performance occurring during the opportunity period or

may be based on instances of unacceptable performance

occurring before, during and after the opportunity

period, as long as the instances took place during the

one-year period preceding the issuance of the notice of

proposed action. Although the agency is allowed to use

instances of pre-opportunity period performance to

support an action (though not exclusively), there is no

incentive to do so unless the agency wishes to cite

such instances as support for its overall performance

determination. The final decision must also include

notice of the employee's right to appeal the action to

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the Merit Systems Protection Board or to file a

grievance under the negotiated grievance procedure (but

not both), the time limits for filing an appeal or

grievance, a copy of the MSPB appeal form and a copy

(or access to a copy) of the MSPB regulations.

430.2 PERFORMANCE EVALUATION PROGRAM FOR NON-BARGAINING UNIT

EMPLOYEES

1. PURPOSE AND SCOPE. The objectives of the performance

evaluation program are to help improve performance, strengthen

supervisor-employee relationships and communications, identify

* and inform employees of organizational objectives, work *

requirements and standards, recognize employee accomplishments

and good work, identify and correct work deficiencies, and guide

personnel actions such as within-grade and quality step

increases, promotions, demotions, removals, reassignments,

performance awards, and training.

2. DIRECTIVES AFFECTED

Directives Referenced

* a. P.S. 3451.04 Awards Program, Incentive Awards, Bureau of

Prisons (07/10/01)

b. DOJ Human Capital Objectives and Strategic Plan.

c. 5 CFR 293, 430, 451, 531, 532 and 771. *

d. 5 U.S.C., Chapters 43 and 45

3. TOPICS COVERED

Purpose – Paragraph 1

References – Paragraph 2

Coverage – Paragraph 4

Effective Date – Paragraph 5

Responsibilities – Paragraph 6

Basic Program Requirements – Paragraph 7

Rating Period – Paragraph 8

Job Elements and Performance Standards – Paragraph 9

Issuing Performance Standards – Paragraph 10

Monitoring Performance - Performance Log – Paragraph 11

Progress Review – Paragraph 12

Final Rating – Paragraph 13

Final Discussion – Paragraph 14

Filing and Disposition of Performance Logs and Rating Forms

– Paragraph 15

Probationary Employees – Paragraph 16

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Informing Supervisors and Employees – Paragraph 17

Performance Rating appeals – Paragraph 18

Relationship to Within-Grade-Increases – Paragraph 19

Quality Step Increases and Performance Awards – Paragraph 20

Addressing Deficient Performance – Paragraph 21

Minimally Satisfactory Performance – Paragraph 22

Unacceptable Performance – Paragraph 23

Proposing and Taking Action Based on Unacceptable

Performance – Paragraph 24

4. COVERAGE. This section applies to all, non-bargaining unit

employees, except the following:

* a. Employees serving under excepted appointments of less than

120 calendar days, *

b. Persons providing services on a contract basis,

c. Attorneys classified in the GS-905 series and Law Clerks

classified in the GS-904 series,

d. Employees in the Senior Executive Service, and

* e. Any other employees specifically excluded by statute.

5. EFFECTIVE DATE. The effective date is October 31, 2004. Any

administrative action initiated prior to this Change Notice

(e.g., an action taken against an employee for unacceptable

performance under 5 U.S.C. 4303) and any ratings deferred under

the previous appraisal program shall continue to be processed in

accordance with the regulations contained in that program. *

6. RESPONSIBILITIES

a. The Assistant Director, Human Resource Management Division,

is responsible for the overall administration of this program.

b. The Federal Bureau of Prisons Personnel Director is

responsible for ensuring that the performance evaluation program

is carried out throughout the system in compliance with current

laws and regulations.

c. Chief Executive Officers are responsible for ensuring that

there is an effective performance evaluation program at their

level of the organization.

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d. The Approving Official for outstanding performance ratings

varies with the organizational level of the employee being rated.

(1) Institution Chief Executive Officers are the approving

officials for Bureau of Prisons and UNICOR employees at

and below the assistant department head level.

(2) Regional Directors are the approving officials for

institution employees above the assistant department

head level and regional office employees below the

Deputy Regional Director. This does not preclude input

by the appropriate Assistant Director.

(3) Assistant Directors are the approving officials for

Central Office employees except for those employees for

whom the Director is the reviewing official. Assistant

Directors are the approving officials for managerial

employees for whom the Regional Directors are the

reviewing officials.

e. The Reviewing Official is the next supervisor above the

rating official and is responsible for assigning an overall

rating and approving or adjusting individual element ratings.

Reviewing officials also approve elements and standards for their

subordinate staff and are responsible for monitoring the

performance appraisal practices of subordinate supervisors and

providing advice or instruction as needed. Reviewing officials

ensure that recommendations for incentive awards based on

performance ratings are consistent with policy and determine

whether recommendations for outstanding performance ratings will

be forwarded to the approving official.

Regional Directors are the reviewing officials for Associate

Wardens (Industries, Education and Training) and Superintendents

of Industries, with input from the Assistant Director,

Industries, Education and Training Division.

f. The Rating Official is the first level of management having

the full range of supervisory responsibilities, including

recommending performance awards. Rating officials are

responsible for maintaining the employee's performance log,

conducting progress reviews and completing the annual performance

rating in accordance with the procedures in this section.

Regional Administrators may suggest to rating officials

significant incidents for inclusion in the performance log that

relate to the quality of professional services provided. These

suggestions may be particularly useful for departments in

specialized program areas.

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Institution Chief Executive Officers are the rating officials

for Associate Wardens (I&E) and Superintendents of UNICOR. UNICOR

Division Managers may suggest to the CEO significant incidents

for inclusion in the performance log that relate to UNICOR

corporate goals and policies.

g. Employees are responsible for becoming familiar with the

objectives and procedures of the performance evaluation program

and for understanding the elements and performance standards for

their positions. The employee is responsible for seeking

clarification from the supervisor on any performance standard or

any other aspect of this program which is not clear. The

employee should inform the supervisor of any factors or

circumstances which the employee believes should be considered in

evaluating his/her performance.

h. Human Resource Managers are responsible for providing

training, advice, and assistance to employees and supervisors on

this program. They are also responsible for maintaining adequate

supplies of the rating forms and performance standards for

distribution to supervisors.

I. Local Procedures. Specific procedures and responsibilities

for initiating the issuance of performance standards, monitoring

changes in performance standards and rating periods, maintaining

rating forms during the rating period, recommending training and

incentive awards based on performance ratings, and other aspects

of this program not described in this section are left to the

discretion of the local Chief Executive Officer. Institutions

and offices should develop written procedures to ensure that the

requirements of this program are fully implemented.

7. BASIC PROGRAM REQUIREMENTS. The basic structure of the

performance evaluation program is outlined below and is described

in detail in subsequent sections.

a. At the beginning of the rating period, the rating official

gives the employee a copy of the performance standards for their

position and discusses them. Both the employee and rating

official sign the rating form, indicating that the discussion has

taken place.

b. Throughout the rating period, the rating official makes

entries in the employee's performance log. Each element of the

performance standards must be addressed at least once each

quarter. The rating official discusses each entry in the

performance log with the employee as it is made. Entries in the

performance log serve as the basis for the progress review and

final rating.

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c. Halfway through the rating period, the rating official

completes a written progress review and discusses it with the

employee. Both the employee and rating official sign the

progress review section of the rating form.

d. At the end of the rating period, the rating official

evaluates each element of the performance standards, assigns an

adjective rating to each element and forwards the rating to the

reviewing official. The reviewing official approves or adjusts

the individual element ratings, assigns an overall rating (and

forwards the rating to the approving official in the case of

outstanding ratings), and returns the rating to the rating

official for discussion with and signature by the employee.

Except in unusual circumstances, employees must receive their

performance rating within three weeks after the end of the rating

period.

* e. The performance appraisal program allows for rating

individual elements, as well as overall performance, at one of

five levels, utilizing pattern H (5 CFR 430.208) which reflects

ratings at level 5 (outstanding), level 4 (excellent), level 3

(successful), level 2 (minimally satisfactory), and level 1

(unacceptable). *

f. An employee must have worked under a set of performance

standards for a minimum of 90 days before receiving a rating

based on those standards. A rating official must have supervised

an employee for a minimum of 90 days before he or she can rate

the employee. These 90-day requirements apply only to final

ratings, not to progress reviews. There is no minimum time

requirement before a reviewing official can review a rating.

* 8. RATING PERIOD. The rating period for employees begins on

April 1 each year and ends March 31 the following year. Except

as specified in Paragraph 10b, the rating period may be adjusted*

as follows:

a. If an employee changes positions which results in a change

of performance standards, the rating period begins on the date of

the change and ends on March 31, or 90 days after the date of the

change, whichever is later.

b. If an employee changes supervisors, the rating period does

not end until he/she has been under the same supervisor for at

least 90 days.

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c. If a rating period is extended past March 31 in order to

meet one or both of the conditions described above, then the

employee's next rating period starts on the day after the above

conditions are met and ends on March 31 the following year.

9. JOB ELEMENTS AND PERFORMANCE STANDARDS

a. Common job elements and performance standards have been

developed for all occupations within the Bureau of Prisons.

* These clearly state Bureau Human Capital Objectives and tie in

with organizational goals and desired results. Central Office

will reissue elements and standards when necessary, to reflect

changes in organizational objectives. Elements and standards *

are issued on pre-printed forms, making it unnecessary to type

the elements and standards on the rating form. Rating officials

must review these standards and delete any element which is

clearly not applicable to a particular position. Rating

officials may also develop one additional element with standards

and tasks to meet unique or unusual responsibilities for a

particular position; however, since all job elements are

critical, these responsibilities must be substantial and highly

important to the position. If such an element or standard is

developed, it must be reviewed and approved for use by the Bureau

Personnel Director. Once an element and standard are approved

for use, they will be typed on the

* preprinted elements and standards which apply to that position.

The Attorney General or the Deputy Attorney General may issue

mandatory elements which components must include in employee’s

performance elements and standards. *

b. A job element is an aspect of the position consisting of

one or more duties or responsibilities which is sufficiently

important that inadequate performance of the element would result

in unacceptable performance in the position. All job elements

are critical.

c. A performance standard is a statement of the expectations

or requirements established by management for an element at a

particular rating level. A performance standard may include

factors such as quality, quantity, timeliness, and manner of

performance.

d. Tasks are examples of job duties that are representative of

a job element under the performance standards. Not all tasks

described under an element are applicable to all occupations

covered by that performance standard. The tasks described in the

performance standards are examples of typical duties which would

be performed in that job element.

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e. The performance appraisal program allows for rating

individual elements, as well as overall performance, at one of

five levels. The performance standards and tasks are described

at only three levels. Rating officials may infer performance at

one of the levels not described by comparing the employee's

actual performance to the levels which are described. For

example, if an employee's performance is better than the examples

*given for the "successful" level, but does not meet the*

examples given for the "outstanding" level, the employee's

performance should be rated at the "excellent" level.

10. ISSUING PERFORMANCE STANDARDS.

a. At the beginning of the rating period, the rating official

will discuss the elements, standards, and tasks for the position

with the employee. This discussion should take place as soon as

possible after the start of the rating period, normally within 30

days. The rating official and employee will sign and date the

rating form, certifying that the elements and standards are

understood. If a new element and standards are added during the

rating period (or if an element is deleted), the rating official

and employee will again discuss them and sign and date the rating

form. If the rating official changes during the rating period

but there is no change in performance elements and standards, it

is not necessary for the new rating official to review the

standards with the employee or sign the rating form; however,

rating officials are always responsible for discussing

performance standards and responding to employees' requests for

clarification of the standards.

* b. An interim rating is required when an employee is

transferred or reassigned to the same type of work after having

completed the minimum rating period. The interim rating is to be

considered in deriving the rating of record. *

c. If an employee is detailed or temporarily promoted to

another position in the Bureau of Prisons and the assignment is

* expected to last at least 120 days, the employee will be given*

the performance standards for the temporary assignment within 30

days of beginning the detail or temporary promotion. An interim

rating will be prepared at the end of the detail or temporary

promotion and the weight given to this interim rating will be

proportional to its share of the total appraisal period.

If an employee is detailed outside the Bureau, reasonable

efforts will be made to obtain appraisal information from the

outside organization which shall be considered in arriving at the

employee's rating of record. If the employee has served in the

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Bureau for the minimum time period (90 days) during the rating

period, the employee must be rated. The rating will take into

account appraisal information obtained from the borrowing

organization. If the employee has not served in the Bureau for

the minimum time period, but has served the minimum time period

in the outside organization: (1) reasonable efforts will be made

to prepare a rating based on the appraisal information from the

borrowing organization or (2)the rating will be deferred until

the employee is able to serve the minimum time period in the

Bureau or the borrowing organization is able to provide appraisal

information.

If an employee transfers to the Bureau from another agency, any

summary ratings which are forwarded from the former agency and

which cover the same time period as the Bureau's rating period

will be considered in arriving at the employee's rating of

record. The weight given to a rating from a former agency will

be proportional to the share of the rating cycle covered by it.

d. The final rating most recently rendered by the former

agency will be the employee's current rating of record until it

is superseded by a final rating issued by the Bureau.

11. MONITORING PERFORMANCE - PERFORMANCE LOG. The performance

appraisal process requires that rating officials observe and note

employee performance continuously throughout the rating period.

Rating officials must record examples of employee performance to

ensure that the rating at the end of the rating period is an

accurate and fair appraisal of the employee's performance during

the whole rating period. The performance log is used to document

and substantiate the final rating.

a. Format. Attachment 4-2 is a sample performance log,

however, any form the rating official finds useful, including 5 x

8 cards, is acceptable.

b. Time Requirements. The rating official must record

performance incidents in the log so that each element is

addressed at least once each quarter. If no significantly

positive or negative performance is noted for a particular

element during a quarter, the rating official will make an entry

describing typical performance over the course of the quarter.

Rather than waiting until the end of the quarter, rating

officials must make entries in the log as the performance is

noted in order to meet the following time requirements.

Rating officials must record specific incidents in the

performance log within fifteen working days of becoming aware of

the incident.

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After an entry has been made in the performance log, the

employee will be given an opportunity to see the entry as soon as

practicable and before the entry is used officially, but no later

than fifteen working days after the entry is made. The employee

will be asked to initial the entry, indicating only that the

entry was discussed, not necessarily that they agree with it.

These time requirements may be adjusted, if necessary, because

of the rating official's or employee's absence.

c. Content of Performance Log Entries. Performance log

entries will document instances of important or significant job-

related performance, both positive and negative. Log entries

must document the actual behavior of the employee, not

personality traits or judgmental conclusions drawn by the

supervisor. Instances of performance recorded in the log must be

related to one or more elements of the employee's performance

standards and include, at a minimum:

(1) the date of the performance incident,

(2) what the employee did that was particularly effective

or ineffective,

(3) circumstances surrounding or contributing to the

performance incident such as the consequences of the

performance, whether the employee had sufficient time

and resources or whether circumstances outside the

employee's control contributed to the performance,

(4) level of performance assigned.

d. Multiple Supervision. If an employee is supervised by more

than one supervisor during the rating period, those supervisors

are responsible for providing the rating official with any

comments or incidents for consideration for inclusion in the

performance log. This provision does not apply to employees who

* receive an interim rating in accordance with paragraph 10 of this

section. *

e. Documenting Unacceptable Performance. Instances of

unacceptable performance recorded in the performance log require

additional actions by the supervisor. Refer to Paragraph 23 of

this section for information on addressing unacceptable

performance.

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12. PROGRESS REVIEW. In addition to the frequent informal

discussions of performance resulting from performance log

entries, the rating official will conduct at least one formal

progress review during the rating period.

a. One progress review is required for non-probationary

employees and it will be conducted at the halfway point of the

rating period.

b. Three progress reviews are required for probationary

employees and they will be conducted at the end of the third,

sixth and ninth months of the probationary year.

c. The rating official will make narrative comments for each

job element in the progress review section of the performance

appraisal form. No adjective rating is assigned to the elements

at this time. The rating official will discuss the progress

review with the employee and both will sign the form at the

bottom of the progress review section. There is no provision or

requirement for the reviewing official to review or comment on

the progress review, however, reviewing officials may examine the

progress reviews prepared by their subordinate supervisors.

d. Progress reviews and the annual rating for probationary

employees require two performance appraisal forms. One form is

used to record the 3-month and 6-month progress reviews and a

second form is used for the 9-month progress review and annual

rating. Rating officials must ensure that a probationary

employee signs the top of both forms, indicating their

understanding of their performance standards and that they sign

the bottom of the form upon completion of each of the progress

reviews and the annual rating. The rating official does not

assign adjective ratings for any of the probationer's progress

reviews; adjective ratings are assigned to the elements only for

the final rating at the end of the probationary period.

Likewise, there is no provision or requirement for the reviewing

official to review or comment on the 3-month, 6-month or 9-month

progress reviews of probationary employees, however, rating

officials may examine the progress reviews prepared by their

subordinate supervisors. The reviewing official assigns the

overall rating and makes narrative comments on the final annual

rating of a probationary employee.

13. FINAL RATING

a. Determining Element Ratings

(1) The rating of an employee's performance in each job

element is based upon the incidents recorded in the

performance log.

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(2) Each element will be rated at one of five levels:

* Unacceptable, Minimally Satisfactory, Successful, *

Excellent or Outstanding.

(3) Each element will be rated at the level which reflects

the level assigned to the majority of performance log

entries for that element. If there are an equal number

of performance log entries at two different levels, the

rating official may assign either of the two levels

unless there is an intermediate level or levels. For

*example, if two log entries are "successful" and two*

are "excellent," the rater may assign either

*"successful" or "excellent" as the element rating. If

two log entries are "successful" and two are*

"outstanding," the rater must assign "excellent" as

the element rating.

(4) Special provisions apply when rating an element as

unacceptable. Refer to Paragraph 23 of this section

for the procedures for documenting unacceptable

performance.

(5) The rating official will mark the block on the rating

form which reflects the adjective rating for each

element, write narrative comments in the space provided

for each element and write narrative comments on the

employee's overall performance in the "rater's

comments" section of the form. Rating officials are

also encouraged to complete the training and career

development section of the form with recommendations

for training or other developmental activities.

(6) For dual or multiple supervision, all supervisors of 90

days or more should provide input into the rating

process and initial the rating form as rating

officials. Reviewing officials may also seek input

from supervisors of lesser periods of time.

b. Overall Rating

(1) The overall rating is assigned by the reviewing

official, based on the individual element ratings.

Reviewing officials assign the overall rating by

marking the appropriate block and writing narrative

comments in the "reviewer's comments" section of the

form.

(2) Except in the case of outstanding ratings, the rating

assigned by the reviewing official is the final rating.

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If the proposed rating is outstanding, the Chief

Executive Officer or Assistant Director is the

approving official. Reviewing officials must adjust

individual element ratings to be consistent with the

overall rating, however, any such changes by the

reviewer must be substantiated by the comments in the

reviewing official's block on the rating form.

(3) Unacceptable performance in one or more elements

mandates an overall rating of unacceptable.

(4) An overall rating of minimally satisfactory is

demonstrated by minimally satisfactory performance in

more than one element and no element rated as

unacceptable.

* (5) An overall rating of successful is demonstrated by a

rating of successful or higher in a majority of the*

elements, no more than one minimally satisfactory

element, and no unacceptable element.

* (6) An overall rating of excellent is demonstrated by a

rating of excellent or higher in a majority of the

elements and no element rated less than successful.*

(7) An overall rating of outstanding is demonstrated by a

rating of outstanding in a majority of the elements and

* no element rated less than excellent.*

(8) In the event of an equal number of element ratings, the

reviewing official has full discretion in approving the

overall rating that best reflects the employee's

performance.

14. FINAL DISCUSSION. After the reviewing official has approved

the final rating (and the approving official has approved an

outstanding rating), the rating form is returned to the rating

official for discussion with the employee. No rating will be

discussed with the employee until after the reviewing official

(and, if necessary, the approving official) has approved the

final rating. The rating official should give adequate time and

attention to this part of the evaluation process. Rating

officials are strongly encouraged to specify areas in which their

employees should seek out training, education, or other

developmental activities to improve skills and/or knowledge or

enhance career advancement and promotion potential (using Section

H on the appraisal form for this purpose). The employee will

sign the bottom of the form, indicating that the performance

rating has been discussed, and a copy of the rating will be given

to the employee. The original copy of the rating, with

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signatures, will be returned to the HRM office for recording and

filing. This is also an appropriate opportunity to review the

performance standards for the next rating period and obtain the

rater's and employee's signatures on the blank form which will be

used for the next rating period.

15. FILING AND DISPOSITION OF PERFORMANCE LOGS AND RATING FORMS

a. Distribution instructions for the rating form are printed

on the form.

b. The original, signed copy of a completed rating form,

including continuation sheets, will be filed in the HRM office,

either in the employee's individual Employee Performance File or

on the left side of the employee's Official Personnel Folder. A

copy of the employee's performance standards may be filed with

the rating form or may be maintained in a separate master file of

performance standards.

c. Completed performance ratings will be retained for four

years and will be forwarded to a gaining agency in the event of

the employee's transfer.

d. Rating officials will retain the performance log for one

year after the performance rating is approved.

e. If a rating is increased or changed as a result of a

successfully pursued grievance or other proceeding, the amended

rating will be filed and the contested rating removed and

destroyed.

f. The final adjective rating will be keyed into the NFC

system, in accordance with instructions in the Payroll/Personnel

Processing Manual.

16. PROBATIONARY EMPLOYEES

a. The probationary period is an extension of the examination

and selection process and provides an opportunity for management

to assess the total suitability of new employees. It is the

policy of the Federal Bureau of Prisons to provide probationary

employees with an intensive program to ensure that they are

provided with direction in their jobs and are capable of

performing effectively.

b. Probationary employees receive formal progress reviews

immediately following the third, sixth and ninth months of

employment, as described in paragraph 12 of this section.

c. The supervisor of a probationary employee must, no earlier

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than the beginning of the fourth month and no later than the end

of the tenth month of probation, submit a signed certification

that the employee's performance and conduct have been found

satisfactory or that the employee's performance and conduct have

been found unsatisfactory. The certification must include a

recommendation as to whether the employee should be retained

beyond the probationary period. The earlier progress reviews

form the basis for this certification and recommendation as to

retention. A probationary employee may be separated after the

tenth month following a positive certification and recommendation

if performance or conduct deteriorate.

d. Failure to meet the standards of performance and

satisfactorily complete training will be a basis for

disqualifying an employee during the probationary period. No

part of this section is to be interpreted as discouraging or

preventing the initiation of removal action at any time during

the probationary year if it is determined, after a full and fair

trial, that the employee's performance or conduct is not

satisfactory. Employees in the competitive service who are

serving a probationary period are excluded from the provisions of

5 C.F.R. Part 432 governing performance-based reduction in grade

and removal actions.

17. INFORMING SUPERVISORS AND EMPLOYEES. In recognition of the

importance of the performance appraisal Program and its

significance to both supervisors and employees, a copy of this

section of the manual will be provided to all non-bargaining unit

employees upon its issuance and to new non-bargaining unit

employees when they enter on duty. In addition, the Human

Resource Manager will ensure that all current rating and

reviewing officials receive a copy of this section and will give

new rating and reviewing officials a copy when they assume such a

position.

Human Resource Managers are responsible for providing advice and

assistance to supervisors on all aspects of this program and are

encouraged to conduct periodic formal training to review the

purposes and procedures of performance appraisal.

Supervisors are responsible for discussing the performance

evaluation program with their subordinates, including explaining

the purpose of the program, rating procedures and how the process

furthers employee and management goals.

18. PERFORMANCE RATING GRIEVANCES. Non-bargaining unit

employees may seek to change their performance ratings, or

Performance log entries by using the agency grievance procedure

contained in Section 771.1 of this Manual.

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19. RELATIONSHIP TO WITHIN-GRADE INCREASES. To be eligible for

a within-grade step increase, an employee must meet the

requirements described in 5 CFR 531.404 (General Schedule) or

5 CFR 532.417 (Prevailing Rate System). One of these

requirements is that the employee must demonstrate an acceptable

level of competence in the duties and responsibilities of their

position. Acceptable level of competence is determined by the

employee's most current rating of record being an overall rating

*of successful or higher. The rating of record used as the *

basis of a within-grade increase determination must have been

assigned no earlier than the most recently completed appraisal

period. If a decision to grant or deny the within-grade increase

is inconsistent with the most recent rating of record, a more

current rating of record must be prepared. If the employee’s

*most recent rating of record is successful or higher and the*

performance has deteriorated below an acceptable level of

competence, a new rating of record must be prepared on which to

base the decision to deny the increase. Similarly, if the most

*recent rating of record was below successful and the *

performance has improved to an acceptable level of competence, a

new rating of record must be prepared on which to base the

decision to grant the increase.

A supervisor who determines that an employee does not or may not

demonstrate an acceptable level of competence will notify the

employee in writing at least 60 days before the date on which the

employee will complete the required waiting period for a within-

grade increase. At least 15 days prior to the end of the waiting

period, the supervisor will tentatively determine whether

withholding the increase is warranted. If the employee fails to

demonstrate an acceptable level of competence, the next higher

supervisory level will review the supervisor's tentative

determination. If both supervisors agree to withhold the

increase, the immediate supervisor will so advise the employee in

writing, stating the reasons for withholding the increase and

referring to the advance notice given to the employee.

General Schedule employees are entitled to request

reconsideration of a decision to withhold a within-grade increase

and to present orally and in writing the reasons he/she believes

the decision should be reversed. If the decision is to grant the

increase, the employee will be certified as meeting the

acceptable level of competence and the increase will be granted

retroactively as of the end of the waiting period.

General Schedule and Federal Wage System employees may contest a

performance rating on which a negative determination is based

under the agency grievance procedure contained in Section 771.1.

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20. QUALITY STEP INCREASES AND PERFORMANCE AWARDS. Refer to the

Incentive Awards Manual for eligibility criteria for Quality Step

Increases and performance awards.

21. ADDRESSING DEFICIENT PERFORMANCE. Addressing performance

deficiencies and taking performance-based actions appropriately

are important aspects of a sound performance management system.

Procedures and requirements for addressing performance which

falls below the acceptable level are discussed in the following

paragraphs.

Acceptable performance is performance that meets the

performance standard or requirement at the level above

unacceptable. Under the Bureau of Prisons performance appraisal

program, this level is the minimally satisfactory level.

22. MINIMALLY SATISFACTORY PERFORMANCE. When instances of

performance or overall performance are deemed to be minimally

satisfactory, the supervisor should determine what action is best

suited to the particular circumstances after discussion with the

employee. Counseling, training, and closer supervision are the

most commonly practiced options available. These efforts should

be thoroughly documented. If minimally satisfactory performance

continues, the supervisor has the option of continuing

counseling, training, or closer supervision or finding that the

employee's performance has become unacceptable.

23. UNACCEPTABLE PERFORMANCE. These procedures will be followed

at any time during the rating cycle when a supervisor records an

instance of performance below the acceptable level in one or more

elements of the performance standards in the employee's

performance log. Again, employee performance below the minimally

satisfactory level is considered unacceptable.

a. Unacceptable Performance Warning. When a supervisor

records an instance of unacceptable performance, he/she will

issue the employee a written warning of a potentially

unacceptable performance rating. This warning letter must

include:

(1) Notification of the element or elements in which

performance is unacceptable.

(2) Specific examples of the unacceptable performance.

(3) The performance requirements or standards which must be

attained in order to demonstrate acceptable performance. The

acceptable level of performance for purposes of retention in the

position under the Bureau's five-level performance appraisal

system is the level between the "unacceptable" level and the

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*"successful" level, specifically performance which is *

"minimally satisfactory."

(4) A reasonable opportunity period to demonstrate

acceptable performance on the elements at issue. This

opportunity period will normally not be less than 30 days nor

more than 90 days following the issuance of the warning letter

and will be determined under the circumstances of the particular

case. The initially established period may be extended at the

agency's discretion for extenuating circumstances such as

extended periods of absence during the opportunity period.

(5) Notice that the employee must improve to the acceptable

level by the conclusion of the opportunity period and must

sustain that level of performance for at least one year from the

start of the opportunity period.

(6) A structured performance improvement plan (PIP) to provide

the employee opportunities to demonstrate acceptable performance.

The PIP may include such activities as developmental assignments,

structured employee assistance or counseling, formal training,

on-the-job training, mentoring or any other activity which the

supervisor believes will afford the employee an opportunity to

demonstrate acceptable performance.

Careful records must be kept of assistance offered and results

achieved under the PIP.

(7) Explanation of actions which may be initiated if the

unacceptable performance continues or if acceptable performance

is not demonstrated.

Human Resource Managers will assist supervisors in preparing

performance warning letters. Warning letters must be approved by

the Regional HRM Office and the LMR Section before being issued

to the employee.

b. Improved Performance During the Opportunity Period. If, at

the conclusion of the opportunity period, the rating official

determines that the employee has improved to an acceptable level

in the element which formed the basis for the opportunity period,

no further action will be taken. When it is time for the annual

rating, the rating official will consider the instance of

unacceptable performance along with other recorded instances of

performance for that element and give it appropriate weight in

assigning the rating for that element.

c. Additional Unacceptable Performance During the Opportunity

Period. If, at the conclusion of the opportunity period, the

rating official determines that the employee has not improved to

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an acceptable level in the element which formed the basis for the

opportunity period, then the rating official will prepare a

performance rating, whether or not it is time for the annual

rating. The element will be rated unacceptable and the proposed

overall rating will be unacceptable.

(1) If it is not time for the annual rating and the

reviewing official does not concur with the proposed

unacceptable rating, then no rating will be issued.

However, if at any time during the remainder of the

rating period the supervisor notes another instance of

unacceptable performance in the same element, he/she

will again propose an unacceptable rating.

(2) If it is time for the annual rating and the reviewing

official does not concur with the proposed unacceptable

rating, then the reviewing official's rating is the

final rating. The reviewing official must adjust the

individual element ratings to support the overall

rating given and substantiate these changes in the

reviewing official's comments on the rating form.

(3) Whether or not it is time for the annual rating, if the

reviewing official concurs with the proposed

unacceptable rating, then an unacceptable rating will

be issued together with a notice of proposed action in

accordance with Paragraph 24 of this section.

d. Additional Unacceptable Performance During the Twelve

Months Following the Beginning of the Opportunity Period. In

order to demonstrate acceptable performance following a

performance warning letter, employees are required to improve

their performance to an acceptable level and sustain that level

of performance for twelve months following the beginning of the

opportunity period. Therefore, if a supervisor notes

unacceptable performance in the same element which formed the

basis for the warning letter at any time during the twelve months

following the beginning of the opportunity period, he/she will

prepare a proposed unacceptable rating as described in Paragraph

23c above. This is the case even if the employee did demonstrate

acceptable performance during the opportunity period and/or

received a performance rating at or above the acceptable level

since the issuance of the warning letter.

24. PROPOSING AND TAKING ACTION BASED ON UNACCEPTABLE

PERFORMANCE. When the reviewing official approves and issues an

unacceptable performance rating, the reviewing official will also

issue a notice of proposed action in accordance with the

following procedures:

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a. An employee who receives an unacceptable rating may be

reassigned.

b. An employee who is serving a one-year probationary period

as a newly appointed supervisor or manager and who does not

satisfactorily perform their supervisory (or managerial) duties,

may be returned to their former (or comparable) position and pay

without right of appeal.

c. A non-probationary employee whose reduction in grade or

removal is proposed is entitled to:

(1) Thirty calendar days advance written notice which

specifies the action proposed, the specific instances

of unacceptable performance on which the proposed

action is based and the elements involved in each

instance of unacceptable performance. These instances

must have occurred within one year prior to the notice

of proposed action;

(2) The right to be represented by an attorney or other

representative;

(3) Fifteen calendar days to respond orally and/or in

writing to the deciding official. The response time

may be extended for a specified time as determined by

the deciding official, but not for more than an

additional thirty days; and

(4) A final written decision within 30 days after the

expiration of the 30-day advance notice period. The

written decision must specify the instances of

unacceptable performance upon which the action is based

and may include any instances of unacceptable

performance which occurred during the one-year period

prior to the issuance of the advance notice. An action

may be based solely on instances of unacceptable

performance occurring during the opportunity period or

may be based on instances of unacceptable performance

occurring before, during and after the opportunity

period, as long as the instances took place during the

one-year period preceding the issuance of the notice of

proposed action. Although the agency is allowed to use

instances of pre-opportunity period performance to

support an action (though not exclusively), there is no

incentive to do so unless the agency wishes to cite

such instances as support for its overall performance

determination. The final decision must also include

notice of the employee's right to appeal the action to

the Merit Systems Protection Board or to file a

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grievance under the agency grievance procedure (but not

both), the time limits for filing an appeal or

grievance, a copy of the MSPB appeal form and a copy

(or access to a copy) of the MSPB regulations.

430.3 PERFORMANCE EVALUATION PROGRAM FOR SENIOR EXECUTIVE

SERVICE MEMBERS

1. PURPOSE AND SCOPE. Performance appraisals in the Senior

Executive Service (SES) are used to measure the effectiveness of

federal executives in the efficient and effective attainment of

the Bureau's mission and program objectives. The appraisals

serve as the basis for determining performance awards and

identifying the strengths and weaknesses of SES members.

2. DIRECTIVES AFFECTED

Directives Referenced

a. Section 430.2 of the Manual

b. 5 CFR Part 430

c. 5 U.S.C., Chapter 43

3. RESPONSIBILITIES

* a. SES Wardens are rated by the appropriate Regional Director.

b. SES members in UNICOR are rated by the Assistant Director,

Industries, Education and Training Division.

c. Other SES members who are supervised by an Assistant

Director or Regional Director are rated by that Assistant

Director/Regional Director.

d. All other SES members are rated by the Director.

e. All completed SES performance appraisals are reviewed by a

Performance Review Board, which is established by selected

components of DOJ. The Director is the final approving authority

for all SES evaluations.

f. Awards are reviewed and approved through the Assistant

Attorney General for Administration to the appropriate appointing

authority, i.e. the Deputy or Associate Attorney General. *

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4. PROCEDURES

a. SES evaluations will be based on performance log entries

and one of the three sets of elements and standards for senior

executives:

(1) Standard Set #7 for SES Wardens

(2) Standard Set #8 for SES Attorneys

(3) Standard Set #9 for other SES members

b. The performance appraisal period for SES members is July 1

through June 30 of the following year, unless advanced or delayed

by appropriate authority.

c. The senior executive member must have served for the

prescribed minimum appraisal period of 90 days before a rating of

record can be assigned.

d. SES evaluations will be completed using DOJ-522,

Performance Appraisal Form

e. At the time of the rating, the rating official will advise

the senior executive of his/her right to respond in writing to

any aspect of the rating and to have that rating and written

response reviewed at a higher executive level. If a senior

executive wishes to request a higher executive review, the

request must be made to the rating official within 7 calendar

days from the date of the issuance of the initial rating.

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Chapter 5

500.1 ORGANIZATION CHARTS AND FUNCTIONAL STATEMENTS

1. PURPOSE AND SCOPE. It is essential each employee understand

the organization’s management structure and all employees are

either directly or ultimately responsible to the Chief Executive

Officer (CEO). Organization charts which graphically depict the

administrative structure and lines of authority facilitate this

understanding.

2. PROCEDURES

a. Each office and institution will publish and maintain a

current organization chart which depicts the administrative

structure and lines of authority of the organization.

b. Each authorized position (or groups of identical positions)

will be located on the chart by title (at a minimum, working

title), pay plan, series, grade, and master record number (MRN).

c. Each office and institution will publish a functional chart

describing the main functions and missions of each organizational

unit (typically, each department).

d. Organization charts and functional statements will be

available to staff and may be published as an Institution

Supplement.

3. MAINTENANCE. Organization charts will be updated whenever

there is a change in the lines of authority, position title,

series, grade, or MRN. There are several computer software

programs available which facilitate immediate changes to

organization charts. At a minimum, offices and institutions will

publish a current organization chart annually and will maintain a

current copy (may include pen and ink changes).

4. CERTIFICATION. If the institution chooses to publish its

organization charts as an Institution Supplement, the CEO’s

signature on the Institution Supplement serves as the

certification of accuracy. Absent an Institution Supplement,

the CEO’s signature on a cover memo will certify the organization

charts’ accuracy.

511.1 POSITION CLASSIFICATION

1. PURPOSE AND SCOPE. This chapter sets forth the requirements

and responsibilities for position classification in the Bureau.

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The information in this chapter applies to both General Schedule

(GS) and Federal Wage System (FWS) positions unless specific

reference is made to one category or the other.

2. DIRECTIVES AFFECTED

Directives Referenced

* DOJ HR Order 1200.1 *

DOJ Order 1511.1B

3. RESPONSIBILITIES

a. Human Resource Managers (HRMs) are responsible for assuring

integration of classification with other phases of human resource

(HR) management, providing support and direction for the

classification program and assuring involvement and cooperation

* of supervisors and managers in the classification process. HRMs*

certify the annual review of positions has been conducted for

positions at their organizational level.

b. Supervisors determine the duties and responsibilities for

* subordinates, write position descriptions (PDs) for Unique and

Exceptions to Standardized positions. Supervisors should have a*

working knowledge of classification principles and policies and

should be familiar with classification and qualification

standards for positions in their units.

They review the need for each position and promptly report

those which are unnecessary. They keep their subordinates

informed of their right to appeal, to review standards and to

discuss classification of their position with HR staff.

c. Employees are responsible for being familiar with the

duties and responsibilities outlined in their PD and for bringing

any questions or discrepancies to their supervisor's attention.

d. HR staff are responsible for classifying positions in

accord with the delegation of authority described in Chapter 2.

In addition, the Bureau Personnel Director and Regional Human

Resource Administrators (HRAs) have post-audit authority over

positions classified at subordinate levels of the organization.

The Bureau Personnel Director may revoke or suspend the

classification authority delegated to lower levels in the

organization if the subordinate office or institution does not

classify its positions in accord with published standards.

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* e. Justification for each position’s Fair Labor Standards Act

(FLSA) exemption status must be included in the position

evaluation statement.

4. CLASSIFICATION FILES AND RECORDS

a. Unique and Exceptions to Standardized. PDs will be filed

by decision unit. SF-52s authorizing current classification and

any subsequent SF-52s which abolish or establish identical

additional (IA) positions will be attached to the PD as well as

the PD cover sheet, keying sheet or screen print, and IA tracking

sheet, or appropriate report.

b. Standardized. Pay and Position Management (PPM) will

maintain PDs electronically. Local filing requirements for these

positions include SF-52s (identical to above), keying sheet or

screen-print, and IA tracking sheet or appropriate report.

c. Abolished Positions. Paperwork will be maintained in a

separate file for two years after the date of cancellation. *

5. CLASSIFICATION MAINTENANCE AND REPORTS. A sound

classification and position management program requires periodic

review and updating to ensure the accuracy of PDs and

classification determinations.

* a. Each position and personnel action, regardless of the

reason for submission, will be reviewed to ensure the PD is

technically adequate for classification purposes. If a new

position is being established or if an existing position is being

re-described, the position will be evaluated and a site audit

will be conducted if appropriate.

b. PDs, organization charts, Position Management On-Line

(PMSO), and PO/PZ reports must be reconciled to reflect position

changes.

c. At least one-fourth of all Standardized and Unique

positions and all Exceptions to Standardized positions will be

reviewed annually for necessity, soundness of design, adequacy of

description, and accuracy of classification. This review must be

done on a cycle which ensures each Standardized and Unique

position is reviewed at least once every four years.

Procedures

(a) Each HR office will establish a written schedule

for reviewing Unique positions which ensures each

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position is reviewed at least once every four

years. It is recommended the schedule be

staggered by organizational segments. All

Exceptions to Standardized positions will be

reviewed annually. *

(b) At the review’s scheduled time, first line

supervisors will review each position under their

control to determine if the position is needed and

if the PD is accurate and complete. Positions

found to be unnecessary will be abolished. PDs

which are not accurate and complete will be

rewritten and submitted to the HR office for

appropriate classification action.

supervisor and HR specialist review any vacant

position prior to filling it. Review of vacant

positions counts toward the annual requirement.

(d) An HR specialist will participate in the review to

provide assistance and assure descriptions are

adequate for classification. PDs requiring no

change will be re-certified by both the supervisor

and classifier on the PD cover sheet. HR offices

will maintain records and files of any site audits

until the next program review.

(e) For Standardized positions, PPM will ensure the

above steps are followed using subject-matter

experts within appropriate divisions of the

Central Office.

d. Reporting Requirements. A signed report by the facility

HRM will certify annually: *

Cat least one-fourth of all Unique positions have been

reviewed;

* Call Exceptions to Standardized positions have been

reviewed; *

Cthose found to be unnecessary have been abolished;

Cthe PD of those found to be necessary are accurate in

relation to duties and responsibilities, and

Call reviewed positions are classified consistently with

Office of Personnel Management (OPM) standards.

* The Chief, PPM will be required to sign the annual

certification for the review of Standardized positions. These

certifications will be maintained at the location where

conducted.

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6. APPLICATION OF NEW CLASSIFICATION STANDARDS. Within six

months of issuance of a new classification standard, positions

allocated to the series covered by that standard will be reviewed

against the new standard and re-described/reclassified as

necessary. Reviews of Unique and Exceptions to Standardized PDs

will be initiated at the location where the position exists. PPM

will review Standardized PDs.

7. CONSULTATION WITH DOJ. The Bureau is required to consult

with DOJ on proposed classification actions affecting 20 or more

substantially similar positions which would change the position’s

grade or pay system. Due to the similarity of positions among

institutions, PPM must review any proposed classification action

which would affect the grades of a large number of positions at a

single activity prior to implementation.

Institutions proposing such actions will forward their proposal

to PPM through the Regional HRA. *

8. CLASSIFICATION APPEALS. Employees have the right to appeal

the correctness of the title, series, grade or pay category

assigned to their position. GS employees may appeal through the

agency procedures or directly to OPM. FWS employees must exhaust

the agency procedures before appealing to OPM. Specific appeal

procedures are described in DOJ Order 1511.1B.

* When HRAs or HRMs become aware of an appeal filed with DOJ or

OPM, they will contact PPM immediately. *

511.2 POSITION DESCRIPTIONS

1. PURPOSE AND SCOPE. The primary purpose of PDs are to

describe the incumbent’s major duties and responsibilities and to

provide the basis for classifying and filling the job. PDs are

useful in other areas of HR management because they help

determine training needs, analyze the organization’s structure

and evaluate the use of employees' skills and abilities.

2. DIRECTIVES AFFECTED

Directives Referenced

* Introduction to the Position Classification Standards

The Classifier's Handbook

3. LANGUAGE. PDs are written in the third person singular,

present tense and active voice. A good description is one that

is a forthright presentation of the work assigned to a position.

Avoid using general or indefinite terms, vague expressions,

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unnecessary detail, and repetition. Statements of duties are

often clearest when they include a strong action verb and a noun

that together define a duty or task.

Guidance on writing PDs can be found in The Introduction to the

Position Classification Standards and The Classifier's Handbook.

4. FORMAT

a. GS Positions. GS PDs will be described in the Factor

Evaluation System (FES) format, unless another format is deemed

more appropriate.

b. FWS Positions. FWS PDs will be described in the format of

the standard by which they will be evaluated. *

5. ADDITIONAL STATEMENTS. Additional statements will be

included in or appended to PDs, as appropriate.

a. Supervision of Inmates. To evaluate whether collateral

correctional duties are present in a position, the description of

any position which has regular and recurring responsibility for

direct supervision of inmates will include a description of the

number of inmates supervised and their duties. The statement

will also describe the employee's responsibility for training,

assigning work, directing, and counseling the inmates.

b. Collateral Duties. The PDs of employees who have been

assigned collateral duties such as equal employment opportunity,

affirmative action, recruiting, alternate positions, and training

instructors will be appended to reflect their collateral duties.

c. Mobility Requirement. The following statement will be

added to the PD of supervisory and managerial positions:

Effective accomplishment of the mission of the Bureau of

Prisons frequently requires geographic relocation of

supervisory and managerial personnel to meet the legitimate

needs of the Bureau and to better use the skills of

available staff. Accordingly, the incumbent is subject to

these provisions and is susceptible to geographic relocation

at the discretion of management in the interest of the

efficiency of the service.

* d. Law Enforcement Language. Primary and secondary law

enforcement positions will include the appropriate law

enforcement language (See Attachments 5-1 and 5-2).

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6. PMSO. HR offices will use the information contained in

Attachment 5-3 to create Master Record Numbers (MRNs) and

Individual Position Numbers (IPNs). *

550.1 COMPENSATORY TIME

1. PURPOSE AND SCOPE. To establish procedures for using

compensatory time off in lieu of overtime pay.

2. DIRECTIVES AFFECTED

5 U.S.C. 5543

5 CFR 550.114

Operating Manual Federal Wage System, Subchapter S8

* DOJ 1551.1C

3. REGULATIONS

a. Prevailing rate employees (Federal Wage System or FWS) may

request and be granted compensatory time off equal to time spent

in irregular or occasional overtime worked in lieu of overtime

pay. *

b. General Schedule (GS) employees below GS-12 may request and

be granted compensatory time off equal to time spent in irregular

or occasional overtime worked in lieu of overtime pay.

c. Employees at GS-12 and above are required to take

compensatory time off equal to time spent in irregular or

occasional overtime worked in lieu of overtime pay.

A memorandum must be submitted for requests to waive the

restriction on overtime pay for employees at GS-12 and above

from the Warden through the Regional Director to the Director for

a final decision.

d. Compensatory time must be used by the end of the leave year

following the leave year in which it was earned. Utilizing sound

judgement as to on-going workforce needs in terms of program and

operational requirements, managers and supervisors must make

every effort to allow employees to use earned compensatory time.

(1) Fair Labor Standards Act (FLSA) covered employees will

be compensated for any unused compensatory time at the FLSA

overtime rate in effect for the employee at the time in which the

compensatory time was earned.

(2) Employees exempt from coverage under FLSA will forfeit

any unused compensatory time, unless:

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<the compensatory time was requested and subsequently

denied and

<the latest request was made between September 1 and

September 30 of the leave year following that in which

the compensatory time was earned, in which case the

employee shall receive overtime pay at the overtime

rate in effect when the compensatory time was earned.

e. Compensatory time is considered a form of premium pay and

is subject to all applicable maximum earnings limitations.

f. Compensatory time off in lieu of overtime pay is not an

employee's absolute right. Management may deny requests for

compensatory time off and pay overtime.

4. PROCEDURES

a. Authorization for Compensatory Time

The approving official will indicate in writing when

compensatory time off, rather than overtime pay, is the

authorized manner of compensation for officially ordered and

approved overtime worked.

b. Crediting and Use of Compensatory Time

(1) Compensatory time is to be credited and used in

increments of quarter hours (15 minutes).

(2) Periods of irregular, unscheduled overtime work, no

matter how small, will be accumulated daily and totaled by the

Timekeeper at the end of the workweek. Fractions of less than

one-quarter hour will be dropped from the total.

(3) Employee requests to use earned compensatory time must

be made in writing using a Standard Form 71 (Application for

Leave) or an acceptable substitute form of memorandum. The

appropriate official may approve or deny the request. Denial of

the request must be noted on the request form and include the

official's signature and the date the request was denied.

(4) Appropriate entries must be made on the employee's Time

and Attendance Report (T&A) to account for all compensatory time

as it is earned and used.

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572.1 TRAVEL AND TRANSPORTATION FOR INTERVIEWS AND

RECRUITMENT

1. PURPOSE AND SCOPE. In the past, agencies were permitted to

pay travel and transportation expenses for new appointees when

they determined there was a shortage of qualified candidates for

a vacancy. Payment of travel expenses for interviews could be

authorized for GS/GM-14 and above positions and for certain GS-10

to GS/GM-13 positions having unique qualification requirements.

The Federal Employees Pay Compensation Act now allows payment of

travel expenses for interviews and for the move to the first duty

station for new appointees for any position. There are no longer

any restrictions as to grade level or determination of a shortage

category.

2. DIRECTIVES AFFECTED

Directives Referenced

a. FPM Chapter 572

b. Federal Travel Regulations, Chapter 2

3. PROCEDURES

a. The selecting official may authorize payment of interview

and/or relocation expenses for a vacancy being filled under

his/her selection authority, subject to the availability of funds

for relocation. There is no special funding for this purpose.

Although there are no restrictions as to the positions which may

warrant payment of travel expenses, effective management of

resources would suggest that payment not be made when there are

other similarly qualified candidates who are willing to pay their

own expenses.

b. Federal Travel Regulations limit allowable expenses in

connection with the relocation of a new appointee. Expenses

which are not covered include real estate transactions, temporary

quarters, house hunting trip, miscellaneous and en route per diem

for family members. Financial Management staff at the selecting

official's level should be consulted for additional information

on allowable expenses and availability of funds before offering

to pay interview or relocation expenses.

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CHAPTER 6

600 ATTENDANCE AND LEAVE

600.1 ELECTRONIC TIME AND ATTENDANCE REPORTING (PC-TARE)

1. PURPOSE AND SCOPE. To outline requirements and

responsibilities associated with the National Finance Center's

(NFC) Personal Computer Time and Attendance Remote Entry System

(PC-TARE) for the processing of time and attendance data.

2. DIRECTIVES AFFECTED

Directives Referenced

a. DOJ Orders 1630.1B and 2160.6C

b. NFC Payroll/Personnel Processing Manual (PPPM), (Time and

Attendance Report Form AD-321), Title I, Chapter 21 and Title VI,

Chapter 10, Sections 1 and 2 (PC-TARE Security Officers and PC-

TARE For Timekeepers.)

3. T & A TRANSMISSION TIME FRAMES. T & A's should be completed

and transmitted to the NFC by the close of business of the Monday

following the pay period. This will ensure that time and

attendance has been recorded for those units that have employees

working over the weekend.

* 4. RESPONSIBILITIES. The requirements and responsibilities

involved in the proper processing of Time and Attendance reports

are established by Department of Justice Order 2120.6C. In

carrying out these requirements and responsibilities, it is

essential that all levels of managers, supervisors, timekeepers/

timekeyers, and employees are knowledgeable of their role in

compliance with this Order.

a. Chief Executive Officers. Chief Executive Officers or

their designees must approve, in advance, the granting of

overtime and compensatory time. In addition, the Chief Executive

Officer (or designee) will delegate the responsibility for keying

T & A's.

b. Supervisors

(1) Individual supervisors shall: be aware of existing

leave policy and regulations published in DOJ Order 1630.1B;

ensure that staff understand leave policy and regulations; and,

exercise fair and honest enforcement of this policy and

regulations.

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(2) Supervisors of organizational units are responsible

for designating timekeepers and alternates and for notifying the

Human Resource Office in writing of any change in timekeepers.

(3) Supervisors are responsible for furnishing timekeepers

with all necessary documentation (i.e. Form BP-369 (35))

concerning any employee overtime worked or compensatory time

earned during the pay period. Supervisors should also ensure

that documentation pertaining to corrected/amended T & A's is

submitted promptly to the timekeeper/keyer.

(4) Supervisors are responsible for ensuring that employees

do not certify their own time and attendance reports.

(5) Supervisors are responsible for certifying, by signing

the T & A form, that time and leave for each of their employees

has been accurately recorded. Supervisors should also ensure

that adequate T & A records are maintained to support the entries

made.

(6) Supervisors are responsible for ensuring that leave

errors are promptly resolved and that any adjustments are

properly documented. Leave audits should be performed in

correcting most leave discrepancies and should be certified in

writing by the supervisor. However, when leave audits are not

appropriate, a memorandum to the file should be completed and

signed by the supervisor detailing the reason adjustments were

made. (See Section 5. Leave Adjustment Procedures.)

c. Human Resource Managers

(1) The Human Resource Manager is responsible for ensuring

that timekeepers/timekeyers are adequately trained by a qualified

and knowledgeable person(s) (at a minimum, annual refresher

training) in both keying and the recording of time and

attendance. *

(2) The Human Resource Manager or other responsible

official within the Human Resource Office is responsible for

obtaining and sending time and attendance data to the National

Finance Center each pay period. Other personnel may be

designated to do the actual uploading, but the responsibility

remains with the Human Resource Manager.

* (3) The Human Resource Manager is responsible for ensuring

that appropriate time and attendance reports are run each pay

period and maintained to verify the accuracy and completeness of

the time and attendance data processed. (See Attachment 6-6 for

minimum report requirements.)

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(4) The Human Resource Manager is responsible for ensuring

that time and attendance files are forwarded to the receiving

timekeeper upon employee transfer within the Bureau of Prisons.

(5) The Human Resource Manager is responsible for ensuring

that accurate leave balance information (accessions) and updated

accounting code data (accessions, transfers, and reassignments)

be furnished to the timekeeper/timekeyer for the employees

assigned to them. (See Attachment 6-7 for Timekeeper Information

Sheet.)

(6) The Human Resource Manager is responsible for ensuring

and documenting that a representative sample of each department's

time and attendance files (a minimum of 5 files per department is

recommended) are reviewed annually, and that appropriate

corrective measures were taken to remedy any discrepancies (i.e.

leave audits, corrections, additional T & A training, etc.).

(7) The Human Resource Manager is responsible for ensuring

that adjustments to leave balances in PC-TARE and/or TINQ are

sufficiently documented (i.e. leave audit, memorandum, screen

prints, etc.) and a clear audit trail exists to explain why the

adjustments were made. *

d. Timekeepers and/or Timekeyers

(1) Timekeepers and/or timekeyers are responsible for

accurately recording and keying time and attendance data for the

employees assigned to them. This may include the recording of

their own time as well as the time of their immediate

supervisors.

* (2) Timekeepers are responsible for ensuring that each time

and attendance report is certified, in writing, as accurate by

the supervisor prior to having the time and attendance data sent

to the National Finance Center.

(3) Timekeepers are responsible for ensuring that any leave

audits or adjustments are certified, in writing, as accurate by

the supervisor. The original audit certification (or memorandum

when audit is not appropriate) and supporting documentation

should be maintained in the time and attendance file. An

additional copy should be provided to the Human Resource Office.

(4) Timekeepers are responsible for making a copy of the

signed time and attendance report and promptly distributing it to

the respective employee.

* (5) Timekeepers are responsible for maintaining an

individual time and attendance file for each employee assigned to

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them. Included in this file should be the original certified time

and attendance reports detailing tour of duty and daily time

records (i.e. worksheet, etc.). For departments with various

tours of duty, duty rosters kept in a separate file may be used

as documentation if retained for six years. Other supporting

documentation such as SF-71's, overtime authorizations, and

military orders, etc., will be filed by the timekeeper in the

individual employee's T&A file to support the entries made on the

T&A report. Time and attendance records will be filed by

individual employee and maintained for six years (or for one year

if there has been a GAO audit). Time and attendance records will

be sent to the Human Resource Office for forwarding to the

gaining institution, upon employee transfer within the Bureau of

Prisons. In the event a prior T & A has to be corrected, this

must be performed electronically by the former institution where

the T & A disks reside. *

(6) Timekeepers and/or timekeyers are responsible for

delivering the "XMIT" diskettes which contain the time and

attendance data to the Human Resource Office at the close of the

pay period in time to allow for timely transmission to NFC.

e. Employees

(1) Employees are responsible for furnishing timekeepers

with SF-71, "Application for Leave" forms, and/or supporting

documentation, regardless of leave type (annual leave, scheduled

and unscheduled sick leave, compensatory time used,

administrative leave, jury duty, military leave, and leave

without pay, etc.), or for confirming leave taken by initialing

the T & A report when an approved SF-71 is not on file. (SF-71's

are required for leave of 5 days or more.)

(2) Employees are responsible for promptly reviewing their

time and attendance reports and notifying their timekeeper of any

discrepancies.

(3) If employees wish to retain a personal copy of their T

& A file, they are responsible for maintaining one with the

copies of the T & A's provided to them each pay period by the

timekeeper.

5. LEAVE ADJUSTMENT PROCEDURES

a. Leave audits (AD-717) must be performed when leave

discrepancies arise on the P0152 Leave Error Report and the

reason for the discrepancy is not immediately apparent or easily

explained.

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b. Legitimate and apparent errors (i.e., incorrect keying,

late SF-71 submission, etc.) may be adjusted by transmission of a

corrected T & A.

c. When leave audits are performed, the AD-717 must be signed

by the supervisor. The original is to be filed in the employee's

individual T & A file.

(1) When balances must be adjusted in the PC-TARE Master

Record, screen prints (before and after adjustments are made)

must be attached to the original AD-717 for documentation

purposes. A copy of the completed leave audit and supporting

documentation must be forwarded to the Human Resource Office.

(2) When the Human Resource Office receives leave audits

which require adjustments to TINQ, screen prints (before and

after adjustments are made) must be attached to the leave audit

documentation. This documentation must be filed by pay period

with the P0049 Audit Trail of Leave Updated Report and P0152

Leave Error Report, and retained for 26 pay periods.

d. When leave discrepancies are apparent, and leave audits are

not appropriate, a memorandum to the file must be completed and

signed by the supervisor, detailing the specific adjustments

required and the reasons adjustments are to be made.

(1) If the PC-TARE Master Record must be adjusted, screen

prints (before and after adjustment) must be attached to the

memorandum and filed in the individual employee's T & A file.

Once completed, a copy of the memorandum and supporting

documentation must be forwarded to the Human Resource Office.

(2) If TINQ must be adjusted, the original memorandum to

file must be placed in the individual employee's T & A file, and

an additional copy must be sent to HRM for processing. When the

Human Resource Office receives the memorandum to file, screen

prints (before and after TINQ adjustment) must be attached to the

memorandum for documentation purposes and filed by pay period

with the P0049 Audit Trail of Leave Updated Report and P0152

Leave Error Report, and retained for 26 pay periods in the Human

Resource Office.

610.1 INSTITUTION SHIFT STARTING AND STOPPING TIMES

1. PURPOSE AND SCOPE. To establish basic parameters for shift

starting and stopping times for employees working at Bureau

institutions and the procedures to establish these practices at

all Bureau institutions.

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2. COVERAGE. This section applies to all institution employees

who are required to pick up keys or other equipment while passing

through control on their way to their assigned duty post.

3. CRITERIA. Each institution shall have approved work

schedules with shift starting and stopping times, for employees

who work at the institution, to begin and end at the point

employees pick-up and drop-off equipment (keys, radios, body

alarms, work detail pouches, etc.) at the control center.

Therefore, employees who pick-up equipment at the control center,

shall have their shifts scheduled to include reasonable time to

travel from the control center to their assigned duty post and

return (at the end of the shift). If an employee arrives at the

key line in a reasonable time to get equipment by the beginning

of the shift, this employee is not to be considered late.

4. PROCEDURES. Institution posts that meet the above criteria

must have approved rosters which meet required shift starting and

stopping times. Wardens shall formulate a plan for all affected

posts. Union participation at the local and regional levels in

formulating plans is strongly encouraged. The Warden must submit

a plan to his/her appropriate Regional Director only if the plan

includes an overlap in work schedules. The plan, at a minimum,

will include the following:

a. List of affected positions/duty posts;

b. Complete custodial roster;

c. Detailed summary of any costs incurred by the

implementation of this plan.

5. SCHEDULE APPROVAL AND IMPLEMENTATION. The authority to

approve the work schedules rests with the Regional Director.

Once approval is received, each Warden shall ensure that

requirements for shift starting and stopping times, and details

of the approved institution plan, are clearly communicated to all

institution employees. If at any time the schedule needs to be

revised, follow procedures stated in this section.

6. SCHEDULING CONSIDERATIONS

a. An institution employee whose shift starts at 7:30 a.m.

must be at the control center and have received his/her equipment

no later than 7:30 a.m. to be considered "on time" for the start

of his/her shift. To accomplish this, each location should

ensure minimum waiting time for the employee in the key line.

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If that same employee's shift ends at 4:00 p.m., he/she should

drop-off his/her keys/equipment in the control center at 4:00

p.m., the scheduled quitting time. Reasonable travel time to and

from the duty post to the control center would be compensable as

part of the employee's tour of duty. Local supervisors should

establish expectations that require employees to arrive and leave

their duty post in a timely and reasonable manner. If an

employee arrives at the key line in a reasonable time to get

equipment prior to the shift, but does not receive the equipment

by the beginning of the shift because of unforeseen

circumstances, this employee is not to be considered late.

b. Due to these parameters, schedules may have to be adjusted

and shifts overlapped for posts which require relief, as

employees must be given time to arrive later and leave posts

earlier to be at the control center on time. The length of time

necessary to provide the overlap depends on the post location and

the reasonable travel time to and from the control center to that

post.

c. Although waiting time in key lines prior to the beginning

of a shift is not "work time", such waiting time is to be reduced

to a minimum to assist a smooth transition from shift-to-shift

and more timely and predictable movement from the control center

to the post. One way to accomplish this is through staggered

shift starting and stopping times for day watch positions and

placing additional personnel in the control center during busy

shift changes. Another option is to assign equipment and keys to

posts. If appropriate, assign key ring to 24-hour posts instead

of requiring staff to wait in key line to exchange their chit

upon arriving and departing work.

d. Physical layout of facilities is to be taken into

consideration when establishing a work schedule.

e. If one equipment issue pass is insufficient, institutions

should consider installing a second equipment issue pass at the

control center.

f. Compressed work schedules may be an appropriate option

(follow procedures for compressed work approval).

g. Each institution should consider incorporating practices

which include increased costs or resources only after all other

options have been exhausted.

h. Overtime may be considered for certain posts/shifts;

however, this option is not meant to restrict the employer's

management of overtime.

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Overtime regulations, procedures, and requirements are not

affected by this policy.

630.1 ADMINISTRATIVE LEAVE IN CONJUNCTION WITH RELOCATION

1. PURPOSE AND SCOPE. Chief Executive Officers are delegated

authority to grant administrative leave to employees in

conjunction with their relocation to another Bureau of Prisons

facility in accordance with established criteria.

2. CRITERIA

a. The purpose of such administrative leave is to carry out

tasks necessary and related to the relocation such as real estate

transactions, opening or closing bank accounts, enrolling or

withdrawing children from school, packing, loading or unloading

household goods, connecting utilities, registering or licensing

vehicles, obtaining a driver's license, etc. This leave may not

be used to delay the employee's travel en route to the new

location.

b. Employees may be granted up to 40 hours of administrative

leave, whether or not the move is being paid by the government

and whether or not the employee takes a house-hunting trip. The

leave may be used prior to the move, following the move or in any

combination. In no case may the administrative leave exceed 40

hours.

c. Administrative leave authorized for relocation may be taken

no sooner than official notification of the relocation and no

later than 90 days after the employee reports for duty or the

employee's family vacates the permanent residence at the old duty

station.

d. Administrative leave authorized for relocation will be

recorded on the employee's time and attendance report under

object class code 1408.

e. Administrative leave authorized for relocation may be

granted to both an employee and spouse if the spouse is a Bureau

of Prisons employee and has been accepted for employment at the

new location.

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630.2 RESTORATION OF ANNUAL LEAVE

1. PURPOSE AND SCOPE. Forfeited annual leave may be restored

to the employee if the forfeiture came about as a result of

illness, exigencies of the public business, administrative error

or unjustified or unwarranted personnel action.

2. DIRECTIVES AFFECTED

Directives Referenced

a. DOJ Orders 1630.1B, dated 7/22/91

b. 5 CFR, Part 630.305.

c. 5 U.S.C., Section 6304

3. PROCEDURES

a. Initial request for restoration of forfeited annual leave

is the responsibility of the employee. Human Resource Managers

are to ensure that Request for Restoration of Forfeited Annual

Leave (Attachment 6-1) is accurately completed by the employee.

b. Human Resource Managers will review the request and

attachments, ensuring that it meets the requirements set forth in

DOJ Order 1630.1B.

c. Institution Human Resource Managers will complete and sign

the checklist (Attachment 6-2), attach it to the request and

forward the request and attachments to their Regional Human

Resource Administrator.

d. Regional Human Resource Administrators will review the

request and determine whether the request warrants approval of

restoration of forfeited annual leave. Approved requests will be

returned to the institution HRM for processing.

e. Central Office employees will submit their requests to the

Central Office HRM Office for review and approval. Approval

requests will be processed in COPO.

f. Although the Regional Human Resource Administrators and the

Central Office HRM are the approving officials, requests are

closely reviewed and subject to rejection.

g. Approved requests will be processed by the appropriate HR

office in accordance with the NFC Human Resource Operations

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Guide.

630.3 VOLUNTARY LEAVE TRANSFER PROGRAM

1. PURPOSE AND SCOPE. The purpose of this section is to

establish guidelines and procedures for the administration of the

Voluntary Leave Transfer Program (VLTP) in the Federal Bureau of

Prisons. This program permits federal employees to donate annual

leave for the use of other federal employees who are experiencing

a medical emergency.

2. DIRECTIVES AFFECTED

Directives Referenced

a. Title 5, U.S.C., Chapter 63, Subchapter III - Voluntary

Transfers of Leave, Sections 6331 - 6340

b. Title 5, CFR, Subpart I - Voluntary Leave Transfer

Program, Sections 630.901 - 630.913

c. DOJ Time and Attendance Reporting Handbook

* 3. MEDICAL EMERGENCY. The term "medical emergency" means a

medical condition of an employee or the employee’s family member

that is likely to require a prolonged absence from duty (that is

or is expected to be at least 24 hours) and result in a

substantial loss of income to the employee because of the

unavailability of paid leave.

Advanced leave may not be considered when determining

whether a medical emergency would likely result in a

substantial loss of income.

A medical emergency could be a serious medical problem of the

employee or a member of the employee's family. Absence for

maternity reasons could constitute a medical emergency only

during the period of the employee's physical incapacitation for

duty and must be supported by documentation from the attending

physician. The determination that a medical situation

constitutes an emergency will be made by the local VLTP Screening

Committee on a case-by-case basis after careful consideration of

the medical reasons and documentation provided by the employee or

someone acting on the employee's behalf. *

4. DESIGNATION OF COMMITTEES. All requests to participate in

the VLTP as a recipient will be processed through a VLTP

Screening Committee. Screening Committees must be established at

institutions, regional offices, and the Central Office and should

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have three or more members consisting of a Chairperson and two or

more members. Designation of the Committee’s size and membership

is at the Chief Executive Officer’s (CEO) discretion.

The Committee must include a representative from the HRM

Department, a representative from the Medical Department, and if

the employee requesting participation in the program is a member

of the bargaining unit then a union representative appointed by

the local union president. The CEO may select other members for

this Committee, which may include a member of the bargaining

unit. All members serve on the Committee as a collateral duty or

on official time, as appropriate. Any violations of the

employee’s privacy rights may result in administrative or

criminal sanctions.

Screening Committees have authority to approve or deny requests

to participate in the VLTP. Upon approval of an employee to be a

recipient under the program, the VLTP Screening Committee is

responsible for forwarding the appropriate authorization to the

HRM Department to key the personnel transaction.

Screening Committees will establish appropriate control and

follow-up systems to monitor the eligibility of recipients for

continued participation. Except for documented emergencies that

will obviously be of extended duration, the Screening Committee

will require, as appropriate, from the recipient the periodic

submission of updated supporting medical documentation which is

not covered by the original request.

Institution and regional office committees provide service to

local employees. The Central Office will have two committees:

a local committee established to provide service to

local employees and

a National Committee established for oversight.

The National VLTP Committee will be composed of the:

Bureau Personnel Director,

Deputy Medical Director, and

Chief of Financial Management.

The Screening Committees should maintain records of all leave

approved and disapproved at the local and national level.

Information maintained by these committees will be provided to

the union upon request, and consistent with 5 U.S.C. § 7114.

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5. ADMINISTRATION

Recipients

a. An employee who has been affected by a medical emergency

may submit an application (Attachment 6-3) to become a leave

recipient to the local human resource office. An employee may

seek the assistance of the Human Resource Office in completing

the VLTP application. If an employee is not capable of making

application, a personal representative (an immediate family

member, guardian, or trustee) of the employee may make written

application on his/her behalf and may request agency assistance

in completing the application. Application may be delivered by

personal representative as described above or by a coworker.

b. The human resource manager will be responsible for insuring

the VLTP application is submitted to the local Screening

Committee in a timely manner.

c. All Screening Committee decisions will be based upon a

majority vote. The local Screening Committee will decide on the

propriety of the request to be approved as a recipient based upon

proof of a medical emergency.

d. Leave balances must, or will be, within established

criteria as determined by the human resource office. The

criteria are:

(1) For an approved leave recipient whose medical

emergency is a medical condition of his/her own, or to provide

care and attendance to a member of the immediate family who has a

contagious disease (a disease for which public health officials

require that a patient be quarantined, isolated or restricted),

the sick and annual leave balances must be zero (or negative)

prior to the official transfer of donated annual leave.

(2) For an approved leave recipient whose medical

emergency is a medical condition of his/her family (other than a

contagious disease), the employee's annual leave balance must be

zero (or negative) and the employee must use sick leave in

accordance with the sick leave provisions as outlined in

Title 5 CFR Chapter 63, Section 630.401 prior to the transfer of

donated leave. This means that the employee must use either 40

hours (if sick leave is less than 80 hours) or 104 hours

(provided an 80-hour balance is maintained) of sick leave before

any donated annual leave can be transferred.

e. The human resource manager will notify the applicant of the

Screening Committee's decision as soon as practicable, but no

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longer than 10 days (excluding Saturdays, Sundays, and legal

public holidays) after the application is received. If the

application is not approved, the notification must include the

reasons for the disapproval.

f. Annual leave transferred may be substituted retroactively

for periods of leave without pay (LWOP) or advanced annual and/or

sick leave granted on or after the date verified by the VLTP

Screening Committee as the commencing date of the medical

emergency at the recipients election.

* g. Annual and sick leave accruals received as a result of

donated leave may each accumulate up to a maximum of 40 hours in

a separate account. This leave will be credited and made

available for the employee’s use effective the beginning of the

pay period after the date on which the employee's medical

emergency terminates. If the medical emergency has not ended but

there are no further donors, this account may be credited to the

employee to use. The employee shall continue to accrue annual

leave while in a shared leave status to the extent necessary for

the purpose of reducing any indebtedness caused by the use of

annual leave advanced at the beginning of the leave year. *

Donors

h. An employee who wishes to make a donation of annual leave

to an approved leave recipient may submit an application

(Attachment 6-4) to the local human resource office.

* i. The human resource office will review each donor's request

to ensure its accuracy, compliance with policy, and that the

recipient is not the donor’s immediate supervisor.

No one may donate leave to his or her immediate

supervisor. *

j. The human resource office will review each donor's request

to ensure that the donor is not transferring more leave than is

permitted under the guidelines outlined below:

(1) In any one leave year, a leave donor may donate no

more than a total of one-half of the amount of annual leave

he/she would be entitled to accrue during the leave year in which

the donation is made.

(2) In the case of a leave donor who is projected to have

annual leave that otherwise would be subject to forfeiture at the

end of the leave year, the maximum amount of annual leave that

may be donated during the leave year must be the lesser of:

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(a) One-half of the amount of annual leave he/she

would be entitled to accrue during the leave year in which the

donations is made; or

(b) The number of hours remaining in the leave year

(as of the date of the transfer) for which the leave donor is

scheduled to work and receive pay. For example, if you are

projected to forfeit 80 hours and there are only 5 working days

left in the leave year, the maximum number of hours you can

contribute is 40. The other 40 hours will be forfeited. This

constraint only becomes a problem when employees wait until very

late in the leave year to make a contribution.

* k. The human resource manager may waive the limitation on

annual leave contributions as prescribed in paragraph j above,

when it is determined that granting the waiver would benefit the

Voluntary Leave Transfer Program. Consideration for a waiver

will be made on a case-by-case basis and must be documented in

writing. Examples include, but are not limited to family members

and donor requests.

l. The decision to donate annual leave is irrevocable once

the leave has been transferred. The minimum amount of annual

leave which can be transferred from a donor to a leave recipient

is 4 hours.

Nationwide Solicitation Process

* m. When insufficient donations are received locally, the

institution may request nationwide solicitation if the employee

so desires. Ordinarily, the request will not be denied for

nationwide solicitation if the local screening committee has

already approved the request for local donations. The request is

to be addressed to the Personnel Director from the human resource

manager and sent via GroupWise to the Employee Relations Section

(BOP-HRM/Employee Relations) for processing. The request is to

include:

the recipient’s name,

a brief statement indicating the total number of

hours donated at the local level, and

the nature of the emergency.

Once the request has been approved, the institution will

be notified and given permission to solicit contributions

nationwide. Nationwide solicitations may be made only to

Bureau institutions. No formal solicitations will be made

to the Department of Justice or to other federal agencies.

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Please note, when employees from one institution know of

another employee’s need for leave under VLTP at a different

institution, it is not necessary to request nationwide

solicitation. Further, employees in federal complexes are

considered to be from the same institution.

It is only necessary to request nationwide solicitation

approval when there are no further donations from the local

area or other sources.

Donations To and From Other Federal Agencies

n. Federal regulations allow leave donations to and from

other federal agencies when:

the leave recipient is a family member employed by

another agency,

there are insufficient donations to meet the leave

recipient’s needs, and/or

acceptance of leave transferred from another

agency would further the VLTP program’s purpose.

Human resource offices should coordinate with other

agencies to get the leave expeditiously transferred to the

appropriate leave recipients or from the appropriate donors.

Employees who wish to donate leave to a leave recipient at

another federal agency may use the Request to Donate Annual

Leaveto Leave Recipient (Outside Agency) Under the Leave

Transfer Program (OF-630-B) (Attachment 6-4a).

6. TERMINATION OF PARTICIPATION. The medical emergency

affecting an individual must terminate:

Cupon formal request from the recipient stating that his

or her medical emergency has ended (Note: The Screening

Committee does not need to review this request.);

Cat the end of the pay period in which the Screening

Committee determines, after written notice from the

agency and an opportunity for the leave recipient, or a

personal representative to answer orally or in writing

within five working days, that the medical emergency no

longer exists;

Cwhen the recipient's employment is terminated; or

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Cno later than at the end of the pay period in which

notice is received that application for disability

retirement has been approved.

When necessary, and after coordination with the recipient's

supervisor, the human resource manager will issue notifications

to recipients of their termination as participants. These

notices must provide the reason(s) for the termination. *

7. REFUNDS OF DONATED LEAVE. When a recipient is terminated

from participation in the VLTP, the human resource manager will

determine the amount of leave to be refunded to each donor, if

there are any remaining hours.

If an employee's medical emergency is terminated due to death or

OPM approval of disability retirement, any transferred annual

leave remaining in the recipient's account will be used first to

liquidate any annual and/or sick leave advanced to the employee,

then to replace any leave without pay, prior to restoration of

such leave to the leave donor(s). (Please note the disability

annuity will begin on the first day in nonpay status.)

Any transferred annual leave remaining to the credit of a leave

recipient when the medical emergency terminates shall be restored

to the leave donor in full hour increments. The minimum amount

of leave which can be restored to a leave donor under

Title 5 CFR, Section 630.911 is one hour. The restoration

formula is as follows:

a. Divide the number of hours of unused transferred annual

leave by the total number of hours of annual leave transferred to

the leave recipient.

b. Multiply the ratio obtained above by the number of hours of

annual leave transferred by each leave donor.

c. Round the result obtained above to the next lower whole

hour amount. This is the amount restored to each leave donor.

d. If the total number of leave donors exceeds the total

number of hours of annual leave to be restored, no unused

transferred annual leave shall be restored.

e. Should any donated annual leave be returned to the donor

and then places the donor in forfeiture status, the rules

governing restoration of annual leave apply.

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* Refund of Donated Leave from DOJ Leave Bank

f. When a recipient receives donations from both VLTP and the

DOJ Leave Bank, VLTP donations must be used first. If there are

any remaining hours after the medical emergency ends, the hours

must be returned to the DOJ Leave Bank. A written memorandum

must be submitted to the DOJ Leave Bank through the Bureau’s

Leave Bank Coordinator stating how many hours are being returned

to the Leave Bank from the recipient. *

8. SUPERVISORS' RESPONSIBILITIES. Supervisors must be familiar

with the VLTP and cooperate with the VLTP Screening Committees in

the administration of this program. Supervisors cannot

disqualify or prohibit an employee from applying for approval as

a leave recipient under the VLTP. However, immediate supervisors

will continue to maintain the responsibilities and rights for

approving the use of transferred annual leave and accrued sick or

annual leave regardless of whether the employee has been approved

as a leave recipient and for requesting updated medical

documentation.

Immediate supervisors should monitor the use of transferred leave

and notify the VLTP screening committee of any concerns they may

have regarding the inappropriate use of transferred leave.

9. HUMAN RESOURCE OFFICE RESPONSIBILITIES. The Human Resource

Manager will certify donations of leave for each recipient.

The Human Resource Assistant will adjust the donating employees

“ANNUAL LV USED YTD” field through TINQ.

* For recipients the donated leave hours will be placed in the

“RESTORED ANNUAL LEAVE” field through TINQ. Leave recipients may

use the Restored Annual Leave after the Master Record has been

adjusted. (For Time and Attendance Reporting, please refer to

the DOJ Time and Attendance Handbook, Chapter 3, under Leave

Donations.) *

The timekeeper/timekeyer must apply leave so that appropriate

sick and/or annual leave balances are at zero, in accordance with

section 5 d (1) or (2) [medical or family emergency], for the

employee while that employee is in a recipient status. The

timekeeper will manually keep a running total of leave accruals

that will be made available to the recipient after the medical

emergency has been terminated.

The human resource manager will, at the end of the medical or

family emergency, notify the human resource assistant and the

timekeeper/timekeyer that the employee is being removed from the

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Voluntary Leave Transfer Program. Upon this notification, the

timekeeper/timekeyer will recredit the leave that the employee

would have received had the employee been in a regular duty

status.

The re-credit will be what the employee would have received or up

to 40 hours, whichever is less and includes annual leave and sick

leave. An employee who is out for an extended period under

section 5 d (1) [medical emergency] will continue to accrue sick

and annual leave up to 40 hours each. An employee who is out

under section 5 d (2) [family medical emergency] will continue to

accrue annual leave up to 40 hours, however, sick leave balances

are unaffected for situations covered by this section.

Upon notification, the human resource assistant will adjust the

"ANNUAL LV ACCRUALS YTD" through TINQ to show the accrued leave

up to 40 hours (as described above).

* 10. VLTP RECORDS. The Human Resource Assistant will receive

documentation on an approved recipient for Voluntary Leave

Transfer. The data element “Approved Leave Recipient” in the

PRES Program DP-120 (multi-element update document) is used to

identify an approved leave recipient and to end participation in

the program. Enter an asterisk [*] to identify an approved leave

recipient and then enter field value Yes [Y] or No [N]. *

The Human Resource Manager will notify the timekeeper/timekeyer

that the employee is an active recipient of the Voluntary Leave

Transfer Program and instruct them to make sure leave balances

are zero, in accordance with section 5 d (1) or (2).

11. APPEALS. There are no statutory or regulatory appeal

procedures under this program; appeals are limited to those

available under the negotiated or agency grievance procedures.

12. COERCION. An employee may not directly or indirectly

intimidate, threaten or coerce or attempt to intimidate, threaten

or coerce any other employee for the purpose of interfering with

any right such employee may have with respect to donating,

receiving or using annual leave under this program.

630.4 LEAVE FOR MATERNITY PURPOSES

1. PURPOSE AND SCOPE. To establish employee and management

responsibilities for requesting and granting leave for maternity

purposes. Leave for maternity purposes is defined as a

combination of sick leave, annual leave and leave without pay to

cover the time required for physical examinations and the period

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of incapacitation and recuperation related to pregnancy and the

birth of a child.

2. EMPLOYEE RESPONSIBILITY. A pregnant employee should request

leave as far in advance as possible, including the type of leave,

appropriate dates and anticipated duration.

Where working conditions are strenuous or hazardous, management

will consider a request for the temporary modification of working

conditions to protect the mother's health and that of her unborn

child. This request should contain a medical certification as to

the nature of the limitations which are recommended.

3. MANAGEMENT RESPONSIBILITY. Management must apply the same

leave policies, regulations and procedures for maternity purposes

as are applicable to any other type of leave request. Childbirth

or complications of pregnancy are temporary disabilities and must

be treated, for leave purposes, in the same manner as any other

physical condition which incapacitates an employee. Also, every

reasonable effort should be made to accommodate a valid request

for modification of duties.

4. LEAVE FOR CHILDBIRTH. Sick leave is appropriate for the

period of incapacitation for delivery and recuperation. It is

understood that some deliveries require longer recuperation than

others, therefore, medical certification defining the length of

recuperation necessary must be provided. An employee may also

request annual leave, advanced sick/annual leave or leave without

pay. In most cases, this leave for incapacitation and

recuperation will be for a period of up to six weeks.

5. INFANT CARE. Annual leave and/or leave without pay may also

be approved to allow the parent time to adjust to a new family

member and develop a close relationship with the infant.

6. ADOPTION LEAVE. Reserved pending publication of OPM

regulations.

7. DURATION OF LEAVE. The total length of leave granted, out of

necessity, must be determined on a case-by-case basis.

Determination as to which category of leave is granted (sick,

annual or leave without pay) will be made by the supervisor based

on the leave request submitted by the employee. However, medical

certification, defining the length of recuperation necessary,

must be provided to support any requested sick leave. The

maximum combination of leave granted will ordinarily not exceed

six months.

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630.5 HOME LEAVE

1. PURPOSE AND SCOPE. The purpose of this section is to

establish guidelines and procedures for granting of Home Leave to

those BOP individuals recruited from the United States for

service abroad, including Puerto Rico.

2. DIRECTIVES AFFECTED

Directives Referenced

a. FPM, Chapter 630

b. DOJ Order 1630.1D Leave Administration

c. Civilian Personnel Law Manual, Title 2, Chapter 5.E

(Home Leave)

d. Civilian Personnel Law Manual, Title 4, Chapter 2.D

(Renewal Agreement Travel)

e. 5 U.S.C., Section 6304 (b) and 6305 (a).

3. PROCEDURES. The contents of the references are not repeated

herein; however, the following clarification is offered:

To be eligible for Home Leave, the BOP employee must have

completed twenty-four months of continuous creditable service in

Puerto Rico and agree to an additional tour of duty of not less

than twelve months, (Attachment 6-5). Home Leave is to be taken

in the United States. Home Leave may not be used in Puerto Rico.

Prior to being transferred to Puerto Rico, the employee must

complete "Foreign Assignment, Initial Written Agreement, Overseas

Transfers" for a twenty-four month period. (See Financial

Management)

BOP Employees will earn no more than 5 days of Home Leave for

each twelve month period.

The renewal travel agreement provisions are intended to provide

expense reimbursement for round-trip travel and transportation by

civilian government employees and their families between tours of

duty overseas for the purpose of taking home leave.

Approval of Home Leave will be at the discretion of the Warden

and may be approved in combination with other leave of absence.

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640.1 COMPRESSED WORK SCHEDULES

1. PURPOSE AND SCOPE. To provide general information regarding

compressed work schedules and to specify the procedural

guidelines for submitting and obtaining clearance for compressed

work schedules. This policy applies to non-bargaining unit

employees (employees) only. Bargaining unit employees are bound

by the terms of any applicable collective bargaining agreement.

2. DIRECTIVES REFERENCED

a. 5 U.S.C., Chapter 61, Subchapter II

b. 5 CFR, Part 610, Subpart D

3. OVERVIEW. Issues regarding compressed work schedules

include:

a. A compressed work schedule enables a full-time employee to

work his or her 80-hour biweekly work requirement in less than 10

workdays. All compressed work schedules are fixed schedules,

meaning the times of arrival and departure are regular and fixed.

There are no provisions under this type of schedule for flexible

tour of duty hours. In determining schedules, Chief Executive

Officers (CEOs) have the authority to set core hours (designated

hours and days during which an employee must be present for work)

based on the needs of the discipline or department/work unit.

For purposes of this section, CEO means Assistant Directors,

Regional Directors and local Chief Executive Officers.

b. The Bureau currently utilizes two types of compressed work

schedules, where it is feasible to do so. These schedules are

the 4-day workweek and the 5-4/9 plan.

Ë The 4-day workweek is a fixed tour of duty which is

limited to four 10-hour days per week.

Ë The 5-4/9 plan consists of a fixed tour of duty limited to

eight 9-hour days and one 8-hour day within a biweekly pay

period.

Workdays in excess of 10 hours are not recommended for inclusion

in a compressed work schedule. These schedules may have a

detrimental effect on security and could inhibit employee ability

to adequately perform job functions due to excess fatigue caused

by the longer hours. Schedules consisting of 12-hour days may be

determined under limited circumstances.

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c. Compressed work schedules are not an employee entitlement.

Supervisors are responsible for establishing and monitoring their

employees' work schedules, and determining if adequate personnel

coverage will be provided to ensure the effective and efficient

functioning of the department/work unit. A compressed work

schedule may be requested for one employee, or a group of

employees. In considering requests, special attention should be

given to the work needs of the office and the demonstrated

performance and reliability of the individual(s) involved.

The duties of some positions do not lend themselves to this type

of work schedule. Position complement may also restrict

participation.

d. An employee on a compressed work schedule who transfers to

another office must follow the schedule in effect in the new

office.

e. If an employee goes to another position while remaining

within the same office, the supervisor must evaluate the impact

of participation on the work requirements of the new assignment.

f. An employee may request to be excluded from a compressed

work schedule if that schedule would impose a personal hardship

on the employee.

g. The servicing Human Resource Management Office shall

maintain records documenting the number of requests approved and

denied, the type of schedule(s) in use, and the number of

participating employees. Any documents containing an evaluation

of the program in terms of measuring the impact on the effective

and efficient functioning of the department/work unit shall also

be maintained.

4. PROCEDURES. Requests for compressed work schedules may be

approved or disapproved at the local or regional level by the

Chief Executive Officer, on a case-by-case basis, in accordance

with the terms of 5 U.S.C. Chapter 61, Subchapter II.

a. Supervisors shall coordinate requests with their servicing

Human Resource Office to ensure consistent processing of

requests.

b. The completed compressed work schedule request package

shall include the following:

(1) A cover memorandum from the CEO to the Office of

General Counsel (OGC), Labor Law Branch.

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(2) A complete copy of the schedule requested. (See

attachment 6-8.)

(3) A signed memorandum of understanding for all

employees covered by the schedule.

(See attachment 6-9.)

(4) A Supervisory Pre-Implementation Questionnaire. (See

attachment 6-10.)

(5) A U.S. Department of Justice Flexible Work Option

Request Form completed by each employee participating

in the compressed work schedule.

(6) Three copies of the package.

c. If a request is disapproved at the local or regional level,

notification of the denial shall be provided by the CEO to the

servicing Human Resource Office. The Human Resource Office will

then prepare a written response to the appropriate supervisor.

d. The compressed work schedule request package approved at

the local level shall be forwarded by the institution's servicing

Human Resource Office to their Regional Director who will forward

it to the Office of General Counsel, Labor Law Branch, for a

legal and technical review. OGC’s legal and technical review

will be coordinated with the Assistant Director for the

discipline. Schedules shall not be implemented until the final

review is completed. A copy of the final decision and the

request package should be forwarded by OGC to the Human Resource

Management Division, Employee Relations Section.

e. If upon completion of the review at the national level, a

schedule is determined to be legally insufficient, the Office of

General Counsel, Labor Law Branch, will provide a written opinion

to the CEO.

If determined to be legally sufficient, OGC notification to

implement the schedule will be forwarded to the CEO.

f. Six months after implementation of an approved schedule:

(1) The supervisor must complete a Six Month Supervisory

Assessment of Compressed Work Schedule form. (See

attachment 6-11.)

(2) The form, along with a cover memo which includes the

institution name and the department/unit working the

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schedule, shall be submitted to the Office of General

Counsel, Labor Law Branch. OGC will coordinate a

technical and legal review with the appropriate

discipline Assistant Director.

g. If at any time a supervisor or CEO determines that the

compressed work schedule has an adverse impact on the agency’s

mission, they will refer their determination to OGC for a legal

review. The CEO will then issue a decision to the parties

involved following OGC’s concurrence.

h. If a schedule is discontinued for reasons other than an

adverse agency impact, OGC shall be notified of the

discontinuance and the reason(s) for it.

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CHAPTER 7

711.1 LABOR-MANAGEMENT AND EMPLOYEE RELATIONS

1. PURPOSE AND SCOPE. To establish procedures involving

bargaining with the union in relation to violation of negotiated

agreements.

2. DIRECTIVES AFFECTED

Directives Referenced

a. Master agreement between the Federal Bureau of Prisons

and AFGE, Council of Prison Locals.

b. Applicable local Supplemental Agreements.

3. PROCEDURES. In instances involving bargaining with the Union

or interactions with bargaining unit employees, care should be

taken to ensure that the provisions of the Master Agreement or

any Supplemental Agreement are not violated.

711.2 PROCESSING GRIEVANCES AND UNFAIR LABOR PRACTICES

1. PURPOSE AND SCOPE. To establish procedures for processing

grievances and unfair labor practices.

2. PROCEDURES

a. Grievances. In the case of grievances, local Human

Resource Manager shall process responses to grievances filed

under agency or negotiated procedures up to the step immediately

prior to arbitration or hearing. The local HRM shall secure

approval of the final response from the Regional HRM (and from

Labor Management Relations (LMR) on a needs basis), before

issuing the response. Upon selection of an arbitrator, the local

HRM will send a copy of the grievance file to the LMR Section.

The date for the hearing, if any, shall be determined in

consultation with the LMR Section.

b. Unfair Labor Practices. In the case of unfair labor

practices, the local HRM shall notify LMR upon receipt of a

charge of an Unfair Labor Practice (ULP) and send a copy of the

charge to LMR. The Chief of Labor Management Relations shall be

designated as the representative for the Agency on the ULP

designation of representative form. The LMR Section shall

coordinate, with the assistance of the local HRM, any

communications between the institution and the FLRA. These

include interviews, responses and settlement discussions. If the

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Federal Labor Relations Authority files an official complaint,

the institution shall immediately notify the Regional HRM and

LMR, then forward the entire file to LMR. LMR shall prepare the

response to the complaint.

711.3 EMPLOYEE JOB ACTION CONTINGENCY PLAN

1. PURPOSE AND SCOPE. Each Chief Executive Officer will

develop a local contingency plan addressing the steps to be taken

in the event of an employee work stoppage. All supervisory staff

will be required to read the local plan and sign a log certifying

that they have done so.

713.1 EQUAL EMPLOYMENT OPPORTUNITY AND AFFIRMATIVE ACTION

1. PURPOSE AND SCOPE. To establish procedures indicating

policies and procedures governing the Federal Bureau of Prisons.

The Federal Bureau of Prisons, which includes the Federal Prison

Industries, Inc. (UNICOR) and the National Institute of

Corrections, is fully committed to equal opportunities in

employment. This commitment goes beyond the letter of the law,

extending to the spirit of the law and to making certain that we

offer full and equal employment opportunities to all employees

and applicants in all aspects of human resource management

policies and practices.

2. DIRECTIVES AFFECTED

Directive Referenced

P.S. 3713.13 Affirmative Action Program (10/22/90)

3. PROCEDURES. Complete information on the policies and

procedures governing the Federal Bureau of Prison's Equal

Employment and Affirmative Action Programs is included in the

current Program Statements and Operations Memoranda covering

these subjects, which are published separately from this manual.

713.2 UPWARD MOBILITY PROGRAM

* 1. PURPOSE AND SCOPE. To establish objectives of the Upward

Mobility Program. This program is a systematic management effort

to develop career opportunities for lower level employees who are

in positions or occupational series which do not enable them to

realize their full employment potential.

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2. DIRECTIVES AFFECTED

Directives Referenced

a. 5 CFR 536.104

b. General Policies and Instructions for the Qualification

Standards Operating Manual. *

3. OBJECTIVES. The following are the objectives of the Upward

Mobility Program.

a. To assist employees in identifying and fulfilling their

career goals.

b. To provide a system which enables employees and managers to

better utilize the knowledge, skills and abilities of employees.

c. To provide training and developmental opportunities for

employees to better enable them to meet the current and future

mission of the Bureau of Prisons.

d. To enable the Federal Bureau of Prisons to meet current and

future staffing needs by preparing employees to meet those needs

and increasing the number of qualified applicants.

e. To motivate employees to achieve their full potential,

enhancing morale and employee satisfaction.

f. To implement merit principles and affirmative action goals.

4. RESPONSIBILITIES

a. The Assistant Director, Human Resource Management Division,

is responsible for the development and implementation of the

Upward Mobility Program throughout the Federal Bureau of Prisons.

** b. Chief Executive Officers at all levels of the organization

are responsible for fostering a climate in which employees are

encouraged to achieve their full potential through training and

developmental opportunities.

c. Human Resource Managers and Employee Development Managers

are jointly responsible for developing and implementing the

elements of an upward mobility program at their facilities.

This includes counseling employees interested in participating in

upward mobility, explaining the nature of the program,

determining career interest, and planning activities. *

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d. Employees are responsible for identifying their career

goals, taking advantage of training and developmental

opportunities which will help them fulfill their goals and for

seeking the advice and assistance of their supervisors, Human

Resource Managers, Employee Development Managers and others who

will help them achieve their full employment potential.

Employees are ultimately responsible for their own careers.

5. COVERAGE

* a. Employees Covered. Permanent employees with one year of

BOP service in a single increment series GS-1 through GS-8

position. Any Federal Wage System employee may also participate

provided they have completed one year of BOP service.

Supervisory employees may not be included in formal upward

mobility programs unless they are in a single increment series

position below the GS-9 level. *

b. Positions Covered. Any position may be identified as a

target or bridge position in the Upward Mobility Program except

those for which OPM qualification standards describe a positive

education requirement.

6. ELEMENTS OF UPWARD MOBILITY. The objectives of upward

mobility can be met through a variety of existing human resource

management and employee development programs. Among them are:

a. Workforce Utilization Planning. Through the regular

activities of workforce utilization committees (see Section 312.1

of this manual), institutions identify projected vacancies,

turnover data, anticipated workload or mission changes and other

factors which affect the ability to meet staffing and mission

needs. The assessment of these factors often reveals

opportunities to restructure or fill positions below the

full performance level or identify training needs, all of which

can lead to upward mobility opportunities for staff.

* b. Details for Training. In order to take advantage of the

correctional skills of BOP staff, the concept of competitive

training details is encouraged.

These details are announced under merit promotion procedures and

afford the employee an opportunity to acquire the knowledge,

skills, and abilities needed to move into a target position.

Details for training also allow an employee to "try on" a new

line of work before committing themselves to a differenttt cccaaarrreeee eeeerrrr

path. Refer to Section 335.1 for additional information and

procedural requirements of details for training.

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c. Filling Positions Below the Full Performance Level. It is

common practice in the Federal Bureau of Prisons to announce

vacancies under merit promotion procedures at multiple grade

levels. This practice benefits management by increasing the

applicant pool and benefits employees by enabling them to qualify

for a career ladder position they would otherwise not be able to

enter into.

d. Modifying Qualification Requirements. As described in the

General Policies and Instructions of the Qualification Standards

Operating Manual and Section 338.2 of this manual, general and

specialized experience requirements may be modified to allow

placement of applicants who have closely related experience.

Judicious use of this provision furthers upward mobility goals by

enhancing opportunities to change career paths.

e. Career Development Program. According to the General

Policies and Instructions of the Qualification Standards

Operating Manual, qualifications must be met unless modified as

in Paragraph 6.d. above. Career development programs are

designed to help employees identify career goals through skills

preference inventories. Employees have an opportunity to achieve

their goals through preparation of Position Development Plans

(for their current positions), including formal training,

developmental assignments, cross-development courses, self-study

courses, counseling, and mentoring. *

7. PROGRAM REQUIREMENTS. Each year, as part of the Annual

Staffing Plan developed by the Workforce Utilization Committee,

each institution will identify the positions or types of

positions which will be filled through the upward mobility

techniques described in Paragraph 6 above. The identification of

upward mobility positions should be based on an assessment of

anticipated vacancies, the availability of potential applicants

and impact on the organization, that is, whether positions can be

restructured or filled at a lower level, qualifications modified

or other actions taken without a negative effect on the operation

of the institution. The fact that a particular position is not

identified in the annual staffing plan as an upward mobility

position does not prevent the institution from using any or all

of the techniques in Paragraph 6 to fill it.

* 8. PAY CONSIDERATIONS. Pay retention is mandatory for any

employee receiving pay higher than the maximum rate of the grade

in which he or she is placed under a formal upward mobility or

apprenticeship prograamm if the general requirements for program

participation are met. *

To document an employee's eligibility for pay retention, the

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vacancy announcement for any position or detail for training

which is covered by the Upward Mobility Program will identify it

as an upward mobility opportunity. Further, the SF-50

documenting the employee's selection will include a remark

showing that the employee is participating in an Upward Mobility

Program.

715.1 EXIT INTERVIEW/SURVEY PROGRAM

1. PURPOSE AND SCOPE. To establish procedures for effecting

exit interview/survey program. Management is constantly seeking

ways to analyze and improve operations. Information from

employees who have decided to leave the service can be

particularly valuable in helping to identify issues which affect

employee morale, satisfaction and retention.

2. PROCEDURE

a. Exit Survey. As part of the clearance process, the HRM

will provide each separating employee with a confidential exit

survey (Attachment 7-1) along with a business reply envelope

addressed to:

Bureau of Prisons

Human Resource Research and Development

320 First Street, N. W.

Washington, D. C. 20534

Except in unusual circumstances, such as when an employee quits

without notice and walks off the job, employees should complete

the survey before leaving the facility. HRM offices will provide

space and opportunity for the employee to complete the survey.

If the employee refuses to complete the survey before leaving,

HRM offices will give the employee the survey form and envelope

and encourage them to complete it and mail it. The names of

employees who refuse to complete the survey should be forwarded

to the HRD office so that response rates can be tracked.

b. Exit Interview. Personal exit interviews are no longer

required, however, HRM's may, at the discretion of the Chief

Executive Officer, continue to conduct exit interviews in order

to gather information locally regarding separating employees.

The exit interview form is Attachment 7-2.

731.1 Personnel Security, Suitability, and Investigation Program

1. PURPOSE AND SCOPE. To establish personnel security,

suitability, and investigation procedures applicable to the

Bureau and to establish sensitivity requirements for all

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positions.

2. DIRECTIVES AFFECTED

* a. Department of Justice Order 2610.2A

b. PS 3420.08, Standards of Employee Conduct (03/07/96)

c. PS 6021.01 Commissioned Officer Student Training/Extern

Program (09/16/94) *

3. RESPONSIBILITIES

a. The Bureau of Prisons' Chief of Labor Management Relations

and Security Branch is responsible for the overall administration

of the Personnel Security, Suitability, and Investigation

Program. The responsibility for this program is delegated to the

Human Resource Management Division, which is required to

designate a Personnel Security Program Officer.

* b. The Chief, Security and Background Investigation Section is

designated as the Personnel Security Program Officer and is

responsible for issuing Bureau-wide guidance and procedures for

the proper background investigation of all Bureau employees;

ensuring that background investigations are reviewed and

documented; and that all derogatory information is resolved. The

Program Officer ensures that these guidelines provide for the

appropriate employment security approval of Bureau employees.

c. Background investigations for Attorney and Law Clerk

positions will be conducted by the FBI through the Office of

Attorney Personnel Management. These background investigations

will be reviewed by the General Counsel, Bureau of Prisons.

Schedule C and non-career SES background investigations will be

handled by the Department of Justice SEPS office and will not be

reviewed by the Bureau of Prisons.

d. Regional Human Resource Administrators are responsible

for the administration of the Personnel Security, Suitability,

and Investigation Program within their region. Regional

Administrators will ensure appropriate background investigations

are initiated on regional office staff, and supervise the

resolution of issues and initial adjudication of investigations

on employees throughout the region.

e. Institution Human Resource Managers are responsible for

pre-employment screening and initiating appropriate background

investigations on institution employees, assisting with the

resolution of any and all derogatory information as needed.

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f. Human Resource Security Specialists are responsible for

processing and reviewing background investigations. The human

resource security specialist ensures all derogatory information

has been satisfactorily resolved, or if issues remain unresolved

refers to higher management official for further review. *

4. PROCEDURES

a. DESIGNATIONS. All positions within the Bureau of Prisons

are designated as sensitive positions for national security

purposes. There are three categories of sensitive positions -

SPECIAL SENSITIVE, CRITICAL SENSITIVE and NON-CRITICAL SENSITIVE.

There are three levels of risk designation described in 5 CFR 731

- High, Moderate and Low. All positions within the Bureau are

designated at the High or Moderate risk level as determined by

the position's potential for adverse impact to the efficiency of

the service.

Each category has distinct background investigation

requirements. The three categories of sensitivity and risk

designations are generally defined below:

SPECIAL SENSITIVE POSITIONS - any position which involves

the highest degree of trust, to include all Heads of Department

Components. Positions with Top Secret access to National Security

Information, Federal Emergency Management Agency special access

programs, witness security programs and ADP-Computer positions

whose duties meet the requirement set forth in this paragraph.

CRITICAL SENSITIVE POSITIONS - any position which involves

fiduciary, public contact, or other duties demanding the highest

degree of public trust. Positions with Secret or Confidential

access to National Security Information, ADP-computer positions

responsible for the planning, direction and implementation of a

computer security program; the direction, planning and design

software; or, accessing a system during the operation or

maintenance in such a way and with relatively high risk, to cause

grave damage or realizing a significant personal gain.

Additionally, these positions involve the development or approval

of plans, policies, or programs which affect the overall

operations of the Bureau of Prisons.

NON-CRITICAL SENSITIVE POSITIONS - any position which

involves duties that may directly or indirectly adversely affect

the overall operations of the Bureau of Prisons, and duties that

demand a high degree of confidence and trust. This includes ADP-

computer positions concerning the direction, planning, design,

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operation or maintenance of a computer system, and whose work is

reviewed by a higher authority at the Special-Sensitive or

Critical-Sensitive levels to insure the integrity of the system.

* Special Sensitive and Critical Sensitive positions are

designated High Risk due to the potential for exceptionally

serious impact involving duties especially critical to the agency

or a program mission with broad scope of policy or program

authority. Non-Critical Sensitive positions are designated

Moderate Risk due to the potential for moderate to serious impact

involving duties of considerable importance to the agency or

program mission with significant program responsibilities and

delivery of customer services to the public such as:

!Policy development and implementation;

!Mid-level management assignments;

!Non-management positions with authority for independent

or semi-independent action; or

!Delivery of service positions that demand public

confidence or trust.

All positions identified as Moderate Risk are considered law

enforcement positions for this purpose.

The sensitivity determination chart (Attachment 7-3)

identifies the sensitivity category and risk designation of all

positions within the Bureau of Prisons. Any employee entering:

!A SPECIAL SENSITIVE position must have a SINGLE SCOPE

BACKGROUND investigation (SBI).

!A CRITICAL SENSITIVE position will be required to have

a FULL-FIELD BACKGROUND investigation (BI).

!A NON-CRITICAL SENSITIVE position will require a

LIMITED BACKGROUND investigation (LBI).

All positions are subject to five year reinvestigations.

b. RECORD KEEPING. All personnel offices are required to

maintain logs with the following information, at a minimum:

(1) Background Investigation Log

!Name

!EOD

!OPM investigation receipt date;

!Date temporary security file forwarded to regional

specialist

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(2) Credit Check Log

!Name

!Social Security Number

!Date of Inquiry

Security Specialists shall maintain a log with the following

information, at a minimum:

!OPM completion date;

!Date of receipt from OPM;

!Date approval was requested from SBIS;

!Date approval was received. *

c. PRE-EMPLOYMENT PROCEDURES. Central Office, Regional, and

Institutional Human Resource Managers will ensure that the

following procedures are applied to all individuals who are

initially hired under career-conditional or career appointments

in the Federal Bureau of Prisons.

* Temporary/Excepted appointments which exceed six months will

also be covered by these procedures. *

STEP 1. An Inquiry as to Availability (OF-5) form

(Attachment 3-7) may be used to initially contact qualified

individuals being considered for Bureau employment. At a

minimum, the following information will be addressed on the OF-5:

(a) A statement advising the individual that he/she must

schedule and report for an interview in order to be considered

for employment.

* (b) A Questionnaire for Public Trust Positions (SF-85P),

and Declaration for Federal Employment (OF-306), will be attached

with instructions that they must be completed and brought to the

personnel office on the day the interview is scheduled. *

check will be run prior to their reporting for an interview.

(d) A statement advising the individual that an NCIC

record check will be run prior to the scheduled interview.

* STEP 2. Prior to the Pre-Employment Interview the applicant

will be given a form (Attachment 7-4) emphasizing the importance

of complete, accurate and truthful information. The applicant

must sign the form acknowledging receipt and understanding of the

information provided. The Human Resource Manager or designated

alternate will conduct a pre-employment interview (integrity

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interview) in accordance with published guidelines. Only

individuals who have received the pre-employment interviewing

training shall perform the pre-employment interview. If

information is gathered, and confirmed by the candidate during

the pre-employment interview which indicates the candidate does

not meet the employment standards for the Bureau of Prisons, the

Human Resource Manager or designated alternate may terminate the

employment screening process at this point. (Note: OPM does not

always sustain an objection based on admissions of behavior

defined as exceeding the Guidelines of Acceptability.)

Candidates found to be suitable in the pre-employment

interview will be referred to the interview panel as outlined in

the following steps.

WAIVERS TO STANDARDS OF ACCEPTABILITY. There may be

occasions where an applicant's past behavior is defined as

unacceptable by the Guidelines of Acceptability, but due to

extenuating circumstances the selecting official still wishes to

select the applicant. When this situation arises, the selecting

official must request that the Guidelines of Acceptability be

waived. *

Such a waiver can only be granted by the respective Regional

Director or Assistant Director. This waiver must be in writing

and include:

PThe details and circumstances surrounding the

applicant's derogatory behavior which is outside the

guidelines.

PThe reasons why this applicant should receive further

consideration.

PThe availability of other suitable applicants.

A copy of this waiver must be maintained in the employee's

temporary security file and must be forwarded to SBIS when

adjudicating their investigation. Employment of an applicant who

falls outside the guidelines without the proper waiver may be

grounds for taking disciplinary action against the party/parties

responsible for the selection.

STEP 3. The prospective employee will be given ample time

to read and complete the below listed forms prior to the panel

interview:

!Employee Notification of Federal Prison System Training

Requirements.

P3000.03

12/19/2007

Chapter 7, Page 12

* !Statement of Selective Service Registration Status

(Attachment 7-17).

!Employment Eligibility Verification (Form I-9). *

STEP 4. A panel interview will be conducted in accordance

with published guidelines. The results will be used to make

selection determinations.

* STEP 5. Candidates successful to this point of the

employment screening process and who are receiving serious *

consideration for Bureau employment will be vouchered. The

vouchering process will include the following:

!Fingerprint Card (SF-87) will be completed;

!At a minimum, employers over the last five years and

three personal references will be vouchered. Telephone

vouchering is acceptable provided it is documented in

writing for the record;

!Use Attachment 7-6 for both written and telephonic

vouchering; and

!Law enforcement agency checks covering five years will

be conducted using Attachment 7-7.

Vouchering responses must be received before an applicant

can enter on duty. Follow-up vouchering shall be completed to

document instances of failure to respond.

STEP 6. Candidates successful to this point may be referred

to the selecting official for conditional selection. The

candidate conditionally selected will be given a conditional

offer of employment. The conditional offer of employment

notifies the applicant that final selection is contingent upon

satisfactory results of the following:

!Physical Examination, including height/weight

determination if required;

!Urinalysis for detection of illegal drug and marijuana

usage;

!Completion of the SF-85P-S; and

!Medical Information Release Form (Attachment 7-5) only

as necessary to address the physical examination or SF-

85P-S.

P3000.03

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Chapter 7, Page 13

Note: Only after the applicant receives the conditional

offer of employment is the SF-85P-S, U.A. and physical

examination completed. If the results of any are

unsatisfactory, the selecting official may withdraw the

conditional offer of employment.

The conditional offer of employment must be made and/or

withdrawn in writing by the selecting official. *

STEP 7. Requesting Limited Background Investigations (LBI).

* OPM must initiate and receive the appropriate background

investigation prior to new employees reporting for duty. In

order to ensure waiver of the pre-appointment investigation,

selecting officials must certify that the applicant has been the

subject of a satisfactory pre-employment interview and the

background investigation has been initiated with OPM.

This certification will be documented by using Attachment 7-8.

The original certification must be completed and mailed to the

SBIS for every new appointee no later than the end of the pay

period the appointee enters on duty. There is no provision for

waiver of this requirement. A copy of the certification should

be maintained in the local security file. *

The following forms will be used to complete the

investigative package requesting and authorizing OPM to initiate

an investigation. As a standard Bureau practice, it must be

compiled in the following sequential order:

LBI

1. SF-85P (Original)

* 2. SF-85P-S (Original)

3. One Fingerprint Card (SF-87)

4. Application or Resume

5. Pre-employment (Integrity) Interview (copy)

6. Declaration for Federal Employment (OF-306) *

Note: Signatures on the above forms should not be more than

120 days old. A duplicate copy of this package along with

all pre-employment documents will be maintained in the

employee's security file until SBIS approval is granted.

Once approval is received, all of this material will be

destroyed.

P3000.03

12/19/2007

Chapter 7, Page 14

The "Agency Use" blocks of the SF-85P will be completed as

follows for all new investigations of Non-Critical Sensitive

employees:

A Type of

Investigation

All initial investigations for Non-Critical Sensitive

employees will be Limited Background Investigations (LBI)

* 120 Day Service. This will be coded 20C. For coding other

investigations see Sections 5(b) and 5(c). *

B Extra

Coverage

Block B will always be coded 6,7. This instructs the OPM

investigators to ask the special questions for law

enforcement and designates attachments (the pre-employment

interview form).

C Risk

Level

* All initial non-critical sensitive investigations will be

coded 5. See Sections 5(b) and (c) for other

investigations. *

D Compu/ADP

This will be coded C for all Computer or ADP positions and

left blank for all others.

E Nature of Action Code

If this is a new employee this will be left blank. If the

investigation is a reinvestigation use the NOA from the last

* personnel action. Not a mandatory completion item. *

F Date of

Action

If this is a new employee this will be left blank. Enter

effective date (Month/Day/Year) of the NOA entered in block

* E for reinvestigations. Not a mandatory completion item. *

G Geographic

Location

P3000.03

12/19/2007

Chapter 7, Page 15

Enter the 9-digit "Worldwide Geographic Location Code" from

FPM Supplement 292-1, Book III to show the actual duty

station for the position.

H Position

Code

Block H will be left blank

I Position

Title

Enter the title for the position for which the investigation

is being requested.

SON

* Enter your Submitting Office Number (SON). Each location is

assigned an SON, which is the same as your location's SOI.

If you do not know your SON contact the SBIS Lead Security

Specialist. *

K Location of

Official Personnel

Folder

* Check the "at SON" Block if the OPF is located in your

office; otherwise indicate the address where it is located.

SOI

* Enter the SOI for the designated Regional Security

Specialist, or the institution SOI if it is to be received

and adjudicated locally. *

M Location of

Security

Folder

* Write in the address of your facility if the security file

is located in your office, this lets OPM know you have

retained the temporary security file. *

N OPAC-ALC

Number

P3000.03

12/19/2007

Chapter 7, Page 16

Enter your institution OPAC number

O Accounting Data

and/or Agency

Case Number

You are not required to fill out this block. It may be used

for local accounting data.

P Requesting Name and Title Signature Telephone # Date

Official

Enter the name, title, and signature of official requesting

investigation (Human Resource Manager or designee), the date and

the commercial telephone number, include area code.

STEP 8. Completed OPM Background Investigations.

Upon completing a Bureau-requested background investigation,

the OPM forwards the investigative report to the SOI indicated on

the investigation form. The appropriate Personnel Security

Specialist shall review completed OPM investigations within 15

working days after receipt. When an employee who is the subject

of a scheduled OPM investigation is selected for transfer to

another location, the local personnel office will notify their

Regional Security Specialist. The Regional Security Specialist

will coordinate any change in SOI number with OPM if the

investigation has not been completed.

If OPM has completed the background investigation, the

Regional Security Specialist shall make every effort to get the

investigation completed and approved by SBIS before the employee

transfers. Forwarding a background investigation which is

received prior to transfer to a gaining personnel office without

resolution may result in disciplinary action.

* HUMAN RESOURCE MANAGERS AND SECURITY SPECIALISTS ARE NOT TO

HAVE UNAUTHORIZED ACCESS TO OR ADJUDICATE THEIR OWN

INVESTIGATIONS OR REINVESTIGATIONS.

STEP 9. Resolution of Derogatory Information.

If there is derogatory information uncovered in the

background investigation, every attempt will be made by the

Personnel Security Specialist to resolve it. Resolutions *

should be documented in accordance with instructions provided in

this chapter.

P3000.03

12/19/2007

Chapter 7, Page 17

d. EMPLOYMENT SECURITY APPROVAL. When an OPM background

investigation is cleared by the appropriate Personnel Security

Specialist, the following forms and material will be completed

and forwarded in the following order, back to front, to the SBIS

requesting approval:

!Application or resume

* !Employment/Personal Reference Vouchering

!Law Enforcement Vouchering

!NCIC (National Crime Information Center) or NLETS

(National Law Enforcement Telecommunications Systems)

!Pre-employment Credit Check

!Declaration for Federal Employment (OF-306)

!Questionnaire for Public Trust Positions (SF-85P)

!Supplemental Questionnaire for Selected Positions (SF-

85P-S)

!BOP Pre-employment Interview Questionnaire (original

signed by applicant)

!OPM Background Investigation Report

!Information resolving the issues, if applicable

!Recommendation for retention from the appropriate

official, if applicable

!Certification of Investigation

!OFI-79A

This material should be placed in OPM Form-66 (folder with an

appropriate investigative file label covering the words Official

Personnel Folder) and forwarded to:

Bureau of Prisons

Security and Background Investigation Section

4211 Cedar Springs Road, Suite 200

Dallas, TX 75219 *

NOTE: "D" ISSUE CASES WILL BE FORWARDED THROUGH THE REGIONAL

DIRECTOR OR ASSISTANT DIRECTOR TO THE SBIS. THESE CASES MUST BE

ACCOMPANIED BY A WRITTEN RECOMMENDATION FOR APPROVAL FROM THE CEO

* AND REGIONAL DIRECTOR OR ASSISTANT DIRECTOR. IF THE CLEARANCE

RECOMMENDATION IS NOT GRANTED AT THE CENTRAL OFFICE HUMAN

RESOURCE MANAGEMENT LEVEL BECAUSE OF SERIOUS ISSUES, THE FILE

WILL BE FORWARDED TO THE DIRECTOR, FEDERAL BUREAU OF PRISONS FOR

FINAL REVIEW AND DECISION.

e. EXCEPTIONS. This section addresses all of the routine and

normal circumstances that are excepted from these personnel

security and investigative procedures. Any circumstance not

listed must be assumed to be covered by the above procedures.

P3000.03

12/19/2007

Chapter 7, Page 18

(1) Transfers to the Bureau from other DOJ agencies:

BI/LBI is not required if approval at the same or

higher security level has been previously granted.

Authorized staff can check what type of investigation was

done on a DOJ employee by calling SBIS at (214) 767-9955 or

FTS 729-9955. Pre-employment interview is required prior to

selection.

(2) Reinstatement (former Bureau employees only):

Employees with a break-in-service of less than one year

will require a pre-employment interview, urinalysis and all

appropriate vouchering - no BI/LBI is necessary, unless the

last investigation/reinvestigation was done 36 months prior

to reinstatement then an update must be completed. If the

break in service exceeds 12 months all pre-employment

screening and a new investigation must be completed. *

Note: The Office of Internal Affairs (OIA) shall be

contacted prior to reinstating any employees to check for

possible derogatory information on file.

* (3) Temporary/Excepted Appointments (less than six months):

These appointments will require all pre-employment screening as

outlined in Section 4(c). Additionally, name and fingerprint

checks must be initiated prior to EOD. If the position requires

the incumbent to have access to sensitive information, a *

National Agency Check with Inquiries (NACI) should be initiated

with OPM, using the SF-85, Questionnaire for Non-sensitive

Positions. The name and fingerprint checks are part of the NACI

and need not be initiated if the NACI is requested.

(4) Public Health Service Officer: It is essential that

all employees meet the same security standards. Therefore, all

new Public Health Service employees will be subject to the

following checks prior to establishing a reporting date at any

Bureau facility.

* (a) Pre-Employment Interview

(b) Credit Check

(d) Vouchering (Past five years employers, three

personal references, five years law enforcement

vouchering)

Additionally, a Limited Background Investigation (LBI) must

be scheduled with OPM on all new PHS officers before they may

report to any Bureau facility, following the same procedures in

P3000.03

12/19/2007

Chapter 7, Page 19

Part C, Step 5, 6 and 7 above. (Note: Step 6 - A conditional

offer of assignment is extended to PHS officers). LBI's for PHS

Senior Co-Steps are initiated and adjudicated by SBIS.

Procedures for PHS Jr. Co-Steps are found in the Program

Statement on Commissioned Officer Student Training/Extern

Program. All other completed background investigations will be

adjudicated and forwarded to the SBIS for final approval as

described in Part C, Step 8 above.

PHS Officers who had an investigation conducted by PHS will

also have a PRIR every five years, initiated and adjudicated by

the Bureau (see "Five Year Investigative Updates"). As a

reminder, PHS employees must also be briefed on the Program

Statement on Standards of Employee Conduct and sign the

acknowledgement that they are aware of the standards. *

Note: PHS conducts a background investigation on its

officers. Completed investigations may be requested if a

review is necessary.

(5) Cancellations of Full-Field or Limited Background

Investigations. To cancel a background investigation, the

initiating office should call the Office of Personnel

Management, Office of Federal Investigations,

* Boyers, PA at (412) 794-5228. The regional security

specialist should be notified of any cancellations by

assigned institutions. SBIS should be notified if the

Warden's certification has been forwarded prior to the

cancellation.

5. FIVE-YEAR REINVESTIGATIONS & INVESTIGATIVE UPDATES. As a

standard practice, incumbents of all Bureau positions, including

PHS officers, shall be subject to five year reinvestigations.

The investigative agency's completion date of the last

investigation is used to project due dates for subsequent five

year reinvestigations. The appropriate human resource office

shall initiate the reinvestigation (PRIR) and mail it to OPM, as

regional procedures dictate. Five-year reinvestigations shall be

initiated within the fiscal year the last investigation reaches

five-years old. *

a. NON-CRITICAL SENSITIVE UPDATES

INVESTIGATION REQUIREMENTS. Employees in non-critical

sensitive positions will be required to complete the following

forms:

P SF-85P

P3000.03

12/19/2007

Chapter 7, Page 20

* P SF-87 (Fingerprint card)

Note: The SF-85P should be completed the same for a PRIR as

for the LBI, except for Block A which should be coded 12C

and Block B which should be coded with an "R" for

reinvestigation. (Information should cover a five year

period. If a period of employment or residence extends

beyond the five year period, the entire time of that

employment or residence should be listed.)

b. PROPER ORDERING OF PAPERWORK. The completed investigative

paperwork should be ordered from bottom to top:

• SF 85P

• OPM Investigation

• Any resolution of derogatory information

• OFI-79A

• Certification of Investigation

On top of these investigative papers, place a memo requesting

the update of the employee's security file (Attachment 7-9). The

entire package should be hole punched on the top and a two prong

fastener should be used to bind it together. THIS INFORMATION

SHOULD NOT BE PLACED IN A NEW SECURITY FILE. SBIS will file this

information in the employee's security file maintained in Dallas.

The completed investigative papers should be mailed to:

Bureau of Prisons

Security and Background Investigation Section

4211 Cedar Springs Road, Suite 200

Dallas, TX 75219 *

c. RESOLUTION OF DEROGATORY INFORMATION. Any derogatory

information uncovered during a reinvestigation will be handled

the same as derogatory information revealed during an initial

investigation. No derogatory information should be disclosed

outside the personnel security staff. If information of a

serious nature (arrests, drugs, serious financial problems, etc.)

is uncovered, the Chief Executive Officer should be informed.

The CEO will be responsible for the decision to pursue

disciplinary/adverse action or request an Office of Internal

Affairs (OIA) investigation.

* NOTE: "D" ISSUE CASES WILL BE FORWARDED THROUGH THE REGIONAL

DIRECTOR OR ASSISTANT DIRECTOR TO THE SBIS. THESE CASES

MUST BE ACCOMPANIED BY A WRITTEN RECOMMENDATION FOR APPROVAL

FROM THE CEO AND REGIONAL DIRECTOR OR ASSISTANT DIRECTOR.

IF THE CLEARANCE RECOMMENDATION IS NOT GRANTED AT THE

P3000.03

12/19/2007

Chapter 7, Page 21

CENTRAL OFFICE HUMAN RESOURCE MANAGEMENT LEVEL BECAUSE OF

SERIOUS ISSUES, THE FILE WILL BE FORWARDED TO THE DIRECTOR

FOR FINAL REVIEW AND/OR APPROVAL. *

d. CRITICAL SENSITIVE INVESTIGATIONS & REINVESTIGATIONS

(1) NEW HIRES. All employees newly hired directly into a

critical-sensitive position will require a Background

Investigation (BI).

(2) REINVESTIGATIONS. For employees newly assigned into

critical-sensitive positions:

* If the employee's last investigation was an LBI and is less

than 60 months old an LBI upgrade must be initiated (BGI).

If the employee's last investigation was an LBI and is more

than 60 months old, a BI must be initiated.

Employees who occupied a Critical Sensitive Position during

their last investigation and have been in a critical-sensitive

position for five years must have a PRIR initiated.

The following forms need to be completed:

P SF-85P (Original) (See Note)

P SF-87 (Fingerprint Card) *

Note: An initial background investigation (BI) or

reinvestigation (PRIR) initiated on a staff member having

NSI access at the Secret or Confidential levels MUST be

submitted on an SF-86 in lieu of the SF-85P. A BI (25C) or

appropriate upgrade (BGI or BDI) or a PRIR (12C) is coded in

Block A on the SF-86.

The "Agency Use" blocks of the SF-85P will be completed as

follows for all investigations of critical-sensitive employees,

* except those having NSI access at the Secret or Confidential

Level (noted separately). *

+))))))))))))))))))))))))))),

*A Type of *

* Investigation * T T *

.))))))))))))))))))2))2))2))-

BI 25C

BGI Upgrade (Upgrade LBI to BI) 27C

* For BI or BGI with NSI access at Secret or Confidential

level, use same codes, but complete the SF-86. *

P3000.03

12/19/2007

Chapter 7, Page 22

+)))))))))))))))))))))))))))))),

*B Extra T *

* Coverage * T T T T T *

.))))))))))))2))2))2))2))2))2))-

Block B will be coded 6 on initial investigations only.

This instructs the OPM investigators to ask the special

questions for law enforcement.

+)))))))))),

*C Risk *

* Level *

.))))))))))-

Most critical-sensitive investigations will be coded 6.

* For BI or BGI with NSI access at Secret or Confidential

level, BLOCK C on SF-86 entitled "Sensitivity Level"

should be coded "3".

+)))))))))))),

*D Compu/T *

* ADP * *

.)))))))))2))-

On SF-85P, Computer/ADP jobs will be coded C, all others

will be left blank.

For BI or BGI with NSI access at Secret or Confidential

level, BLOCK D on SF-86 entitled "Access" should be coded

"1" if have or need Confidential Access or "2" if have or

need Secret access.

+))))))))))))))))))))))),

*E Nature of T *

* Action Code* T T *

.))))))))))))))2))2))2))-

For reinvestigations use the NOA from their last personnel

action. (Not mandatory)

+))))))))))))))))))))))))))))))),

*F Date of T Month TDay TYear *

* Action * T * T * T *

.)))))))))))2)))2)))2))2))2))2))-

Enter the effective date (Month/Day/Year) of the NOA entered

in block E. (Not mandatory) *

+)))))))))))))))))))))))))))))))))))))))),

*G GeographicT *

* Location * T T T T T T T T *

.)))))))))))))2))2))2))2))2))2))2))2))2))-

P3000.03

12/19/2007

Chapter 7, Page 23

Enter the 9-digit "Worldwide Geographic Location Code" from

FPM Supplement 292-1, Book III to show the actual duty

station for the position.

+)))))))))))))),

*H PositionT *

* Code * *

.)))))))))))2))-

Block H will be left blank

+))))))))))))))))))))))))))))))))))))))))))))))))))))))),

*I Position T *

* Title * *

.))))))))))))2))))))))))))))))))))))))))))))))))))))))))-

Enter the title for the position for which the investigation

is being requested.

+)))))))))))))))))),

*J T *

* SON* T T T *

.))))))2))2))2))2))-

* Enter your SON. If you do not know your SON contact the

SBIS. *

+)))))))))))))))))))))0)))0))))))))))))))))))))))))))))))),

*K Location of /)))1None *

* Official Personnel/)))1NPRC *

* Folder * *At SON *

.)))))))))))))))))))))2)))2)))))))))))))))))))))))))))))))-

Check the "At SON" Block

+))))))))))))))))),

*L T *

* SOI* T T T *

.)))))2))2))2))2))-

* If the employee holds a Critical Sensitive or higher

position and is a GS/GM 13 or above, a Human Resource

Manager at any level or a Personnel Security Specialist

enter "DJ85". All others, enter SOI of Regional Security

Specialist or institution SOI if adjudicated locally. *

+))))))))))))))0)))0)))))))0)))))))))))))))))))))))))))))),

*M Location of/)))1None * Other Address *

* Security /)))1At SOI * *

* Folder * *NPI * *

.))))))))))))))2)))2)))))))2))))))))))))))))))))))))))))))-

P3000.03

12/19/2007

Chapter 7, Page 24

* Fill in the other address section with the following

information:

Bureau of Prisons

Security and Background Investigation Section

4211 Cedar Springs Road, Suite 200

Dallas, TX 75219

If you coded "DJ85" in block L check the "at SOI" block and

no address is required. *

+)))))))))))))))))))))))))))))))))))),

*N OPAC-ALC T *

* Number * T T T T T T T *

.))))))))))))2))2))2))2))2))2))2))2))-

Enter your institution OPAC number

+))))))))))))))))))))))))))))))))))))))))))))))))))))))))),

*O Accounting Data *

* and/or Agency T *

* Case Number * *

.)))))))))))))))))))2)))))))))))))))))))))))))))))))))))))-

You are not required to fill out this block. It may be used

for local accounting data.

+)))))))))))))))))))))))))))))))))))))))))))))))))))))))),

*P RequestingT Name and TitleTSignature TTelephone #TDate*

* Official * * * * *

.))))))))))))2)))))))))))))))2))))))))))2)))))))))))2))))-

For all critical sensitive investigations enter the name,

title, and signature of official requesting investigation

(Human Resource Manager or designee), the date and the

commercial phone number, include area code. Mail directly

to OPM.

* e. SPECIAL SENSITIVE INVESTIGATIONS AND REINVESTIGATIONS.

Positions designated as Special Sensitive require a Single Scope

Background Investigation. Most employees are in this category

due to their access to National Security Information (NSI) at the

Top Secret level. When a supervisor indicates that there is a

need for an employee to have Top Secret access to NSI, request a

memorandum justifying the need for access from the supervisor,

then contact SBIS to ascertain if the employee holds a clearance

or if the employee will need an upgraded investigation. SBIS

will initiate contact with the employee if a new or upgraded

investigation is needed and will complete the process of

requesting NSI access.

P3000.03

12/19/2007

Chapter 7, Page 25

(1) NEW HIRES. All employees newly hired directly into a

special-sensitive position will require a Single Scope Background

Investigation (SBI).

(2) REINVESTIGATIONS. Employees newly assigned into

special sensitive positions:

If the employee's last investigation was a BI and is from 0

through 12 months old a BI update must be initiated (SDI), code

(31C).

If the employee's last investigation was a BI and is from 13

to 60 months old a BI upgrade must be initiated (SGI), code

(32C).

If the employee's last investigation was an LBI, an internal

Bureau reinvestigation, or is more than 60 months old a SBI,

(code 30C), must be initiated.

Employees who occupied a Special Sensitive Position during

their last investigation (SBI) and have been in a special

sensitive position for five years must have a PRIS (code 13C)

initiated using the SF-86.

The following forms need to be completed:

PSF-86 (Original)

PSF-87 (Fingerprint Card)

POFI-36 - Submitted only if employee has foreign-born

relatives.

The "Agency Use" blocks of the SF-86 will be completed as

follows for all investigations of special sensitive employees.

+))))))))))))))))))))))))))),

*A Type of T *

* Investigation * T T *

.))))))))))))))))))2))2))2))-

SBI 30C

SDI Update (BI 0-13 mos. old) 31C

SGI Upgrade (Upgrade BI to SBI)32C

(14 - 60 mos. old)

PRIS (5 yr. reinvestigation) 13C

+)))))))))))))))))))))))))))))),

*B Extra T *

* Coverage * T T T T T *

.))))))))))))2))2))2))2))2))2))-

Block B will be coded 6 on initial investigations only.

P3000.03

12/19/2007

Chapter 7, Page 26

This instructs the OPM investigators to ask the special

questions for law enforcement. If employee has foreign born

relatives and has completed an OFI-36, also use code 7 to

signify attachments.

+)))))))))))))))))))))),

*C Sensitivity *

* Level T T *

.))))))))))))))))2))2))-

All Special Sensitive investigations will be coded "4".

+)))))))))))),

*D AccessT *

* * *

.)))))))))2))-

If employee has or will need NSI access at the Top Secret

level, enter code "3". If position is special sensitive,

but does not require NSI access, leave blank.

+))))))))))))))))))))))),

*E Nature of T *

* Action Code* T T *

.))))))))))))))2))2))2))-

For reinvestigations use the NOA from their last personnel

action. (Not mandatory)

+))))))))))))))))))))))))))))))),

*F Date of T Month TDay TYear *

* Action * T * T * T *

.)))))))))))2)))2)))2))2))2))2))-

Enter the effective date (Month/Day/Year) of the NOA entered

in block E. (Not mandatory)

+)))))))))))))))))))))))))))))))))))))))),

*G GeographicT *

* Location * T T T T T T T T *

.)))))))))))))2))2))2))2))2))2))2))2))2))-

Enter the 9-digit "Worldwide Geographic Location Code" from

FPM Supplement 292-1, Book III to show the actual duty

station for the position.

+)))))))))))))),

*H PositionT *

* Code * *

.)))))))))))2))-

Block H will be left blank.

P3000.03

12/19/2007

Chapter 7, Page 27

+))))))))))))))))))))))))))))))))))))))))))))))))))))))),

*I Position T *

* Title * *

.))))))))))))2))))))))))))))))))))))))))))))))))))))))))-

Enter the title for the position for which the investigation

is being requested.

+)))))))))))))))))),

*J T *

* SON* T T T *

.))))))2))2))2))2))-

Enter your SON. If you do not know your SON contact the

SBIS.

+)))))))))))))))))))))0)))0))))))))))))))))))))))))))))))),

*K Location of /)))1None *

* Official Personnel/)))1NPRC *

* Folder * *At SON *

.)))))))))))))))))))))2)))2)))))))))))))))))))))))))))))))-

Check the "At SON" Block

+))))))))))))))))),

*L T *

* SOI* T T T *

.)))))2))2))2))2))-

Enter "DJ85" for all levels.

+))))))))))))))0)))0)))))))0)))))))))))))))))))))))))))))),

*M Location of/)))1None * Other Address *

* Security /)))1At SOI * *

* Folder * *NPI * *

.))))))))))))))2)))2)))))))2))))))))))))))))))))))))))))))-

Check the "at SOI" block and no address is required.

+)))))))))))))))))))))))))))))))))))),

*N OPAC-ALC T *

* Number * T T T T T T T *

.))))))))))))2))2))2))2))2))2))2))2))-

Enter your institution OPAC number

+))))))))))))))))))))))))))))))))))))))))))))))))))))))))),

*O Accounting Data *

* and/or Agency T *

* Case Number * *

.)))))))))))))))))))2)))))))))))))))))))))))))))))))))))))-

You are not required to fill out this block. It may be used

for local accounting data.

P3000.03

12/19/2007

Chapter 7, Page 28

+)))))))))))))))))))))))))))))))))))))))))))))))))))))))),

*P RequestingT Name and TitleTSignature TTelephone #TDate*

* Official * * * * *

.))))))))))))2)))))))))))))))2))))))))))2)))))))))))2))))-

For all special sensitive investigations enter the name,

title, and signature of official requesting investigation

(Human Resource Manager or designee), the date and the

commercial phone number, include area code. Mail to SBIS if

this is the first special sensitive investigation for the

employee. If this is not the first special sensitive

investigation for the employee, mail directly to OPM. *

f. PROCESSING COMPLETED REINVESTIGATIONS. Upon completion of

the investigation OPM sends a completed background investigation

report to the SOI indicated on the investigative form. These

investigative files will be reviewed as follows:

* (1) The Security Specialist at each institution/region and

the Central Office will review the completed investigation files

for employees who are in non-critical sensitive positions at any

grade level and employees who are in critical/sensitive positions

not identified in (2) below. The Security Specialists will

resolve any derogatory information and may also have files

forwarded from SBIS on cases initially reviewed by SBIS to

resolve derogatory information.

(2) The SBIS will review all completed investigations for

all Human Resource Managers, HRM Security Specialist, employees

who are in critical sensitive GM/GS-13 positions, and all

employees in special sensitive positions. The SBIS will

determine who will be responsible for resolving any derogatory

information.

(3) When all derogatory information has been resolved, the

appropriate official will attach any documentation outlining the

resolution of issues, the investigative report, SF-85P/SF-86, and

a short memorandum (Attachment 7-9) requesting a review of the

updated investigative report. Do not place this information in a

file folder. The packet should then be forwarded to:

Bureau of Prisons

Security and Background Investigation Section

4211 Cedar Springs Road, Suite 200

Dallas, TX 75219

Upon final approval the SBIS will forward the signed

Certification of Investigation to the appropriate Security

Specialist. Regional Security Specialists will mail the original

signed Certification of Investigation to the local personnel

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office. The Certification of Investigation is to be filed in the

employee's OPF. Upon receipt of the signed Certification of

Investigation, employees shall be notified of investigation

approval. *

6. RESOLUTION OF DEROGATORY INFORMATION

a. INTRODUCTION. The review of background investigations and

the resolution of derogatory information is an essential part of

the process for determining whether an individual is eligible for

government employment or access to National Security Information.

These functions should be conducted, whenever possible, by

designated security personnel outside of the employee's

supervisory chain. The supervisor's knowledge of derogatory

information may affect the supervisor's objectivity regarding

performance appraisal, promotions, etc., of the employee.

b. PURPOSE. The purpose of this document is to assist those

individuals in the Bureau who initially review background

investigations for employment or security approvals and for those

individuals who conduct Subject Interviews for the purpose of

resolving and documenting derogatory information. Derogatory

information appears in a background investigation in a number of

ways. Some information is derogatory information on its face and

is both easily recognized and identified. There is other

information that, standing alone is somewhat innocuous. When

this information is reviewed in the context of other information,

it may also require resolution.

* c. POLICY. The Bureau does not discriminate on the basis of:

P race,

P color,

P religion,

P sex,

P national origin,

P disability, or

P sexual orientation.

Every person seeking or holding employment with the Bureau is

judged in hiring and in connection with any other employment

action--including, without limitation, disciplinary action;

issuance, denial, or revocation of a security clearance; or

dismissal--on the basis of his or her:

P abilities,

P demonstrated performance,

P experience,

P conduct,

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P character,

P judgment,

P stability,

P discretion,

P integrity,

P responsibility,

P candor, and

P other appropriate qualifications.

The Bureau may inquire into and examine a person's performance,

experience, conduct, character, judgment, stability, discretion,

integrity, responsibility, and candor to determine suitability

for employment and trustworthiness. In the context of

determining eligibility for security clearances or access to

sensitive information, the Bureau may investigate and consider

any matter that would reasonably subject the applicant or

employee to coercion; but no inference concerning susceptibility

to coercion may be raised solely on the basis of the race, color,

religion, sex, national origin, disability, or sexual orientation

of the applicant or employee.

It is the policy of the DOJ and the Bureau that all derogatory

information be favorably resolved before employment security

approval is granted and a decision on continued employment is

made. The resolution will require the adjudicator to identify

the information, explain why it is considered insignificant, or

provide documented resolution. It is not sufficient to resolve

derogatory information by merely indicating that the subject

exhibits acceptable job performance. *

* In determining whether Federal employment and/or access to

classified information is clearly consistent with Executive

Branch objectives and the national security, adjudication of

background investigations or reinvestigations that reveal

activity or conduct that may render a person susceptible to

coercion will be subject to the following guidelines:

(1) If the background investigation or reinvestigation

demonstrates that the applicant/employee is open regarding his or

her conduct, no personal interview or other action is warranted.

(2) If the background investigation or reinvestigation

indicates, or raises an unresolved question as to whether the

person is concealing any conduct that reasonably would subject

the person to coercion, the HRM/HR Security Specialist will

arrange for an interview with the employee to discuss:

(a) The issue of concealed conduct that was raised during

the background investigation or reinvestigation, and whether or

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not the person is in fact concealing any conduct that reasonably

would subject the person to coercion. If the discussion

demonstrates that the person is not concealing any such conduct,

no further action is warranted.

(b) If the person may be concealing conduct that

reasonably would subject the person to coercion, the interviewer

will continue to discuss:

!The Bureau's concern regarding the potential for

coercion, pressure, manipulation, or blackmail;

!The Employee Standards of Conduct requirement that

the employee immediately submit a written report

of any attempt at coercion or blackmail to the

CEO.

The interviewer should prepare a memorandum documenting the

discussion and the employee's acknowledgement of the reporting

requirements and submit it with the employee's security file.

The employee is not required to sign any documentation. *

Resolution of derogatory information should afford the subject

an opportunity to comment on the derogatory information or a

chance to offer his/her "side of the story." Resolution of

derogatory information is a critical part of the adjudication

process for several reasons. Information which appears

derogatory can be refuted or mitigated in some instances by the

subject of the background investigation. Similarly, the subject

may be able to present circumstances which clarify the derogatory

information.

A Federal district court in New York, in the case of Jane Doe

v. Civil Service Commission (483 F. Supp. 539, S.D.N.Y., 1980)

has determined the Due Process provisions of the United States

Constitution require that the subject of a government conducted

background investigation be provided an opportunity to comment on

"derogatory" information which may have a bearing upon

the subject's employment prospects.

It should be mentioned that resolution of derogatory

information is not intended as a punitive action against the

* employee nor does it indicate that the Bureau is taking adverse

action against the employee. Rather the opportunity to comment *

on derogatory information is an essential part of the

adjudication process that is premised upon both practical and

legal considerations.

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Executive Order (E.O.) 10450, entitled "Security Requirements

For Government Employment," establishes as the criteria for

government employment that individuals must be "reliable,

trustworthy, of good conduct and character and of complete and

unswerving loyalty to the United States."

Derogatory information is any information that, in the opinion

of a reasonably objective person, tends to indicate that an

individual may not be possessed of one or more of these

qualities.

d. DEROGATORY INFORMATION. E.O. 10450 attempts to provide

examples of information which may disqualify an individual for

government employment. Listed below are general areas of concern

for adjudicators, some specific concerns and examples of

resolution.

(1) Loyalty. E.O. 10450 requires that applicants for

Federal employment be loyal to the United States Government.

Quite naturally, this loyalty trait becomes even more significant

if a person requires access to this nation's most sensitive

information. Therefore, any information which indicates that the

subject is not loyal should be identified as derogatory. The

loyalty issue is one that has become increasingly complex due to

judicial rulings and recent court decisions.

Any background investigation which presents information

which questions an employee's loyalty to the United States must

be brought to the attention of the SBIS. If an applicant is

found to be unsuitable for employment, the SBIS does not need to

be advised.

If, however, it is decided that the applicant is otherwise

suitable for employment, the loyalty issue must be brought to the

attention of the SBIS prior to hiring that individual.

Several examples which should bring into question an

individual's loyalty are:

#Advocating force or violence to overthrow the

government of the United States;

#Establishing contact with a seditionist, anarchist or

with any representative of a foreign government whose

interests may be contrary to the interests of the

United States; or

#Membership in organizations which systematically commit

criminal acts against the United States Government.

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These and similar situations must be brought to the

attention of the SBIS.

(2) Close Relatives and Associates. In reviewing a

background investigation, attention should be given to evidence

that the subject of the investigation has close relatives or

associates residing outside of the United States or who are

citizens of a foreign country, especially hostile countries (OPM

no longer identifies "communist bloc countries" as the only

nations of concern). Any information which tends to show the

individual may be subjected to coercion or pressure should be

identified as derogatory information and resolved, including

frequent and/or prolonged foreign travel.

For example, a naturalized American with close relatives

under the control of a communist-bloc country could be coerced by

a foreign government and faced with a very difficult choice

between the safety of those relatives and the interest of the

national security. By threatening the relatives, pressure can be

applied which might cause an individual to act contrary to the

national security.

In resolving information regarding close relatives or

associates, it is important to understand the nature of the

relationship and the frequency of contact between the subject and

the relatives or associates. Therefore, the following

information should be obtained from all applicants/employees

where evidence of foreign relatives or associates is identified

in the background investigation case papers or the actual

background investigation:

#Name and address of the foreign citizen (i.e., aunt,

uncle, cousin, close friend, etc.);

#Relationship between subject and foreign citizen (i.e.,

aunt, uncle, cousin, close friend, etc.);

#The frequency of contact- past, present and future--

with the foreign citizen; or

#The form of such contact (personal visits, letters,

cards or telephone calls).

(3) Undesirable Character Traits. Any trait(s) which may

show the individual to be unreliable, untrustworthy or open to

compromise is significant in the adjudication of the case. This

information may be given by an open or confidential source, be

derived from an arrest record or be indicated by the

falsification of employment applications or personal history

statements. All such information must be viewed in relation to

the rest of the file. Isolated incidents in a person's

background are viewed less significantly than a continuing or

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emerging pattern of behavior. The adjudicator should try to

obtain a complete picture for employment and/or access to

National Security Information.

Undesirable character traits could also place an individual

in a compromising situation where coercion or pressure might be

used to blackmail an applicant/employee. The following examples

are provided:

* (a) Sexual Conduct. The Bureau does not pass judgment on

the sexual orientation of employees; however, sexual conduct and

behavior become important to the adjudication of a background

investigation when there is evidence that the individual could be

coerced or blackmailed due to sexual conduct. Should it be

determined that an applicant/employee could be subjected to

coercion because of sexual conduct, this information must be

addressed and resolved. If sexual conduct becomes germane,

homosexual and heterosexual conduct will be treated the same. *

(b) Alcoholism. Excessive use of alcohol presents many

problems for the adjudicator. Any information which tends to

show that the individual uses alcohol to excess, or any

information that shows alcohol use affecting job performance

should be identified as derogatory information. If you have

determined that the employee has used alcohol to excess, you

should determine the extent of the employee's current use,

determine if alcohol use has ever affected job performance and

determine if alcohol use has ever resulted in the loss of a job,

arrest by police, automobile accident or treatment for

alcoholism.

mental condition, as distinguished from marriage counseling and

social services counseling for family problems, is significant

and must be clarified to determine whether the subject's job

performance may be adversely affected. The purpose of

identifying this kind of information is to remove any reasonable

doubt regarding the current seriousness of a problem. Temporary

depression related to the death of a loved one or the failure of

a marriage is to be expected, whereas long term depression would

cause considerably greater concern.

In resolving derogatory information of this nature, obtain

the following information:

* Check the Supplemental Questionnaire for Selected

Positions (Standard Form SF-85P-S) to see how the

applicant/employee answered question 5 to determine if

he/she answered honestly. *

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Medical treatment for a mental/emotional disorder must

be accompanied by a recommendation from a competent

* medical authority that the applicant/employee is

capable to perform the duties of a sensitive position.

If the applicant/employee answered "no" to question 5

on the SF-85P-S and there is evidence of medical

treatment (i.e., treatment by a psychiatrist as opposed

to a marriage counselor) for a mental condition, obtain

a written, detailed explanation regarding the apparent

falsification. If the employee answered "yes" to

question 5, details should be found in item 5. Unless

it is provided in item 5, the following should be

obtained:

!what is/was the disorder?

!when did the disorder first appear?

!does the subject still suffer from this disorder?

!is the subject currently undergoing treatment for

this disorder?

!has this disorder ever resulted in the subject's

loss of a job?

!ensure that a recommendation from a competent

medical authority, that the applicant/employee can

perform the duties of a sensitive position, has

been obtained. *

(4) Financial Responsibility. Most recent espionage cases

have been the result of the pressure of indebtedness.

* This is an area of serious concern. Just Financial Obligations,

5 CFR 2635.809 states,in part:

". . . Employees shall satisfy in good faith their

obligations as citizens, including all just financial

obligations, especially those such as Federal, State, or

local taxes that are imposed by law."

Indebtedness becomes a legitimate concern when an individual

begins to fall behind on credit card payments, alimony, child

support, rent, car loans, etc. Nonpayment of a just debt after

90 days is considered delinquent and requires resolution. It is

important to determine if the individual considers the debt just.

Some debts are clearly not the responsibility of an individual

and may be the result of careless record keeping by credit

reporting agencies. *

Refusal to admit to a just debt is not enough to resolve an

unfavorable credit record. A derogatory credit report must be

resolved by the individual and appropriate documentation

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provided. Any disputes between the subject and the credit agency

must be resolved by the subject and documentation submitted.

Similarly, the repossession of an automobile for non-payment, and

eviction from rental housing for non-payment, should be explained

by the subject and documentation provided.

(5) Dishonesty. As required by E.O. 10450, individuals

entering federal service must be:

"...trustworthy...and of good conduct and character..."

* This requires that applicants answer honestly when

completing all employment documents.

Discrepancies on these forms may be an indication that the

applicant/employee has falsified one of the forms to either

conceal past behavior, or to exaggerate or misrepresent

qualifications or suitability. In either case, all discrepancies

must be resolved.

All security/suitability documents are used as the basis for

the background investigation and must be completed in detail. As

an adjudicator, a careful review of all security/ suitability

forms is mandatory.

If there is a discrepancy in any of the information

supplied, it must be resolved. To resolve this information, the

adjudicator should:

!Present the original information to the subject (either

in writing or verbally);

!Present the conflicting information that was developed

in the background investigation; and

!Either ask the employee to explain, in writing, the

discrepancy or summarize the employee's explanation for

the discrepancies and include as documentation in the

file submitted to SBIS. *

(6) Arrests. An arrest, regardless of the offense or when

it was committed, is derogatory information and should be so

stated. The nature and severity of the offense and when it was

committed will have a bearing on the adjudication. Generally,

the more recent the offense the greater impact it will have on

the adjudication. An arrest for drunk and disorderly conduct

would be less serious if the applicant/employee was arrested at a

young age on a college campus, for instance. While this incident

would probably not require significant resolution, it must still

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be noted as derogatory information. An arrest for driving while

intoxicated (DWI) is a serious offense and more than one arrest

for DWI in the space of a few years is extremely serious. The

questions regarding alcohol, as listed above, should be used in

this situation. An arrest that resulted in a conviction and

fine/imprisonment must be accompanied by sufficient evidence that

the applicant/employee has been rehabilitated.

(7) Drug Usage. The widespread abuse in America today of

drugs to include marijuana, makes it increasingly likely that an

adjudicator will have to address this problem. Despite its

widespread use, marijuana is in most states an illegal substance

- possession and use are punishable, criminal offenses. Other

narcotic and nonprescription drugs have also been widely used as

"recreational" drugs. The illegal use of prescription or

nonprescription drugs by a Department employee will not be

tolerated. Evidence of such use is derogatory information and

should be so noted. In resolving drug related derogatory

information, the offense must be viewed against the age of the

applicant/employee and when the offense occurred. Drug usage is

a serious problem and requires resolution.

* If there is evidence in the background investigation of

previously undisclosed use, arrest for use, possession or sale of

illegal drugs, the following information should be obtained:

#Detailed information concerning when the illegal

drug(s) were first used;

#What drug(s) were used;

#How often the drugs were used;

#The last time the drug was used; and

#Any treatment for drug usage.

In addition, the subject should be warned that as an

employee of the DOJ, the illegal use or sale of drugs will not be

tolerated. *

(8) Confidential Source Information. Background

investigations will sometimes contain information provided by

sources who request confidentiality under the Privacy Act. It is

not permissible, in most cases, to include this information in

the resolution of derogatory information because of the risk of

identifying the source. Any background investigations which

contain unresolved derogatory information provided by a protected

source should be forwarded to the SBIS for resolution.

(9) Classified Information. Similarly, National Security

Information classified at the "Confidential," "Secret," and "Top

Secret" levels sometimes appears in background investigations.

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Background investigations containing such information requiring

resolution should be forwarded to the SBIS.

* 7. PROCEDURES TO RESOLVE DEROGATORY INFORMATION. Once

derogatory information has been identified, either during the

pre-employment process or in the review of the background

investigation, it must be resolved. Resolution usually is

presented in the form of written documentation obtained through

an interview with the employee (referred to as a "Subject

Interview") or written questions given to the subject (referred

to as "Written Interrogatories"). Written documentation must be

provided to allow the SBIS to verify the information, if

necessary.

For example, if a background investigation surfaces information

regarding credit indebtedness, it is not sufficient for the

subject to assert that his/her record contains an error;

tangible, written documentation must be provided. In the case

above, the subject will have to contact his/her local credit

reporting agency if the record is in error. Correspondence to

and from the credit reporting agency resolving the error would

serve as the basis of acceptable documentation.

Note: Derogatory information revealed in the pre-employment

screening process that falls within the Guidelines of

Acceptability or for which a waiver was obtained does not have to

be formally addressed in adjudicating the investigation. The

adjudicator should make note that the information was considered

during the pre-employment screening and is within the Guidelines

or a waiver was obtained. Waivers should be submitted with the

investigation. *

Methods of Resolution

There are two basic methods for resolving derogatory information:

the Subject Interview and Written Interrogatories. Each method

is designed to fit varying circumstances and is discussed in

detail below.

a. Subject Interviews. This method is used when the

information requiring resolution is neither serious enough to bar

an applicant from employment nor to remove an employee from a

sensitive position. Subject Interviews are generally used to

ensure that an individual is notified of the existence of a

* problem and the Bureau's expectations as to future conduct.

For example, evidence of marijuana usage could be of concern to

the Bureau, but might not, by itself, be the basis for *

non-selection or removal. It is important, however, that a

determination be made regarding current use and that the

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individual be advised of DOJ policy regarding drug usage. A

Subject Interview may be used for these purposes.

(1) Arranging for the Interview. The Subject Interview is

not a formal proceeding and should not be treated as such.

Bureau applicants or employees are permitted, as a matter of

courtesy, to have representation present during interviews. The

representative may act in an advisory capacity only. The subject

should be advised of this when the interview is scheduled. The

subject should also be advised of the purpose of the interview

(i.e., to discuss information received as a result of the

background investigation). Arrangements for the interview should

be made by the interviewer with the subject. Every effort shall

be made to be discreet regarding the interview to avoid

stigmatizing the subject.

(2) Conducting the Interview. The interview should be

designed to allow the subject an opportunity to comment on,

refute or mitigate information in the background investigation.

The interview, therefore, is an information gathering vehicle and

not a cross examination. The interviewer should emphasize the

purpose of the interview, the reason for the interview and

* briefly describe the area(s) of concern to the Bureau. The

questions to be used during the interview should be thought out

carefully in advance prior to the interview. The subject should

be advised that he/she is not obliged to answer any of the

questions. *

If the subject declines to answer, the statement found as

Attachment 7-10 should be signed by the subject. If the subject

agrees to the Subject Interview, the statement found as

Attachment 7-11 should be signed by the subject.

(3) Documenting the Interview. At the conclusion of the

interview, the interviewer(s) should prepare the documentation.

Generally, a memorandum for the record is sufficient

documentation. This memorandum should outline the interview,

list the subject's responses and advise the SBIS if the subject

was advised, for example, of the Department's policy on drug

usage. The information obtained during the interview should be

analyzed and a recommendation for or against employment,

continued employment and/or access to National Security

Information, if appropriate, should be contained in the

memorandum. This documentation should be attached with the

background investigation when it is forwarded to the SBIS. If

serious information is uncovered during the Subject Interview,

the Security Staff may decide to issue written interrogatories.

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b. Written Interrogatories. When information is identified in

a background investigation which is serious enough to consider

* disciplinary or adverse action, written interrogatories should *

be used. Written questions are a more formal approach than a

Subject Interview to resolving derogatory information. Written

Interrogatories are covered by a letter to the subject (see

sample Attachment 7-12) briefly explaining the procedure and

establishing suspense dates for responding. In addition, written

questions contain a statement of the subject's rights (see

Attachment 7-13) which the subject is required to read and sign.

The written questions should focus specifically on information

in the background investigation. There is no "one" way of

structuring the written questions; however, the Security Staff

has adopted the following format (see sample questions,

Attachment 7-14).

# Narrative. Before asking specific questions, the

derogatory information is synopsized or directly quoted from the

background investigation.

# Request for Comments. The narrative is followed by a

statement inviting the subject to comment on the information.

# Introduction to Questions. Even if the subject provides

comments, there is usually specific information needed to resolve

derogatory information; therefore, the subject is instructed to

answer specific questions in addition to providing any comments.

# General Question. This question is usually written to

obtain a "yes" or "no" response.

# Follow-up Questions. If the subject answers "yes" to

general question, there will usually be follow-up questions.

# Ending Statement. This statement is included at the end

of the last question to allow the subject an opportunity for any

final comments. The final page of the written interrogatory

package is a certification statement which the subject must sign.

Essentially this statement holds the subject accountable for the

accuracy of any written responses (see Attachment 7-15).

Subject Interviews and Written Interrogatories are designed to

afford the subject of a background investigation due process, and

an opportunity to comment on questionable information contained

in the background investigation. The results of these methods

for resolving derogatory information should be forwarded to the

SBIS, along with the background investigation, with a

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recommendation for or against granting an employment approval

pursuant to E.O. 10450.

731.2 CONTRACT SECURITY

1. PURPOSE AND SCOPE. To establish security and supervision

requirements for contract and consultant personnel involved in

the delivery of services to Bureau of Prisons facilities.

2. DIRECTIVES AFFECTED

Directive Referenced

P.S. 5300.14 Volunteers, Involvement in Programs (10/01/91)

3. RESPONSIBILITIES

a. Program Managers will be responsible for all appropriate

vouchering and gathering of information for security files.

Program managers will also be responsible for a monthly report of

contract employees. This will list all current contract

employees and will additionally list any contract employees who

are no longer providing services to the institution.

b. Contracting Officers will be responsible for aspects of

advertising and administering any contracts.

c. Personnel Security Officers will be responsible for only

those duties included in this Program Statement.

NOTE: Volunteer security procedures are outlined in the Program

Statement, Volunteer, Involvement in Programs.

4. INVESTIGATIVE REQUIREMENTS

a. Investigative requirements for Contractors and Employees of

Contractors: There are 3 basic types of contracts that BOP

facilities may initiate at the institution level. Depending on

the need for contracted services, the following requirements will

apply to contractors and, or their employees. Exceptions to

these requirements may be based on emergency needs for the

services to be delivered. The Regional Correctional Services

Administrator, after consultation with the Regional Director,

will approve or disapprove all requested exceptions in writing.

A copy of the request shall be placed in the appropriate contract

personnel security file.

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The program manager receiving the services of the contractor

(e.g., Mechanical Services, Industries, Education, etc.) will be

responsible for conducting the appropriate vouchering, law

enforcement checks, and ensuring the appropriate fingerprinting

and urinalysis testing is completed. The Personnel Security

Specialist will conduct the NCIC and name check, and ensure that

the fingerprint cards (FD-258s) are mailed to the FBI.

A security file will be established for each contract employee

by the responsible program manager. The Personnel Security

Specialist will be responsible for maintaining these files.

(1) Individual Contracts

(a) This includes all contracts with individuals

delivering compensated services to an institution

where the delivery of these services requires

frequent and unsupervised contact with inmates.

The following investigative procedures will be

applied and appropriate forms completed before an

individual is permitted inside an institution:

Responsibilities of Personnel Security Officer

- National Crime Information Center (NCIC)

Check

- Name Check

Responsibilities of Program Manager

- FD-258 Fingerprint Check

- Law Enforcement Agency Checks (Attachment 7-

- Vouchering of employers over the past five

years (Attachment 7-6)

- Completed SF-171 (Application for Federal

Employment)

- Completed Contractor Pre-employment Form

(attachment 7-16)

- Release of Information

NOTE: These requirements will be agreed to by the

individual interested in obtaining a contractual agreement

with the BOP before the contract is granted.

In addition to the above procedures, the Financial

Management Contracting Officer will ensure through the

contracting process that each prospective individual

contractor is advised that a urinalysis is required before

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the contract is awarded. If the test is positive the

contractor will be disqualified from being awarded the

contract. This requirement must be included in the

solicitation or request for services.

Exceptions: Individual contractors who have been delivering

the same services to an institution over a period of 3 or

more years may be exempt from these procedures at the

discretion of the Chief Executive Officer.

Chief Executive Officers may exempt consulting physicians

entering the institution on an infrequent basis (i.e. less

than once a week) from the required investigative

procedures. Chief Executive Officers should use prudent

judgement in this matter and may exempt other individuals

whose services have been identified as difficult to

contract. These exemptions must be in writing and signed by

the Chief Executive Officer. These exemptions will be

placed in the individual's personnel security file.

(b) Short term contracts: This includes only those

short term contracts for individual services that

last less than 30 days. These procedures may be

applied only for contract employees who will be

escorted at all times while inside the secure

confines of the institution or will be outside the

institution with no possibility of contact with

inmates.

Individuals contracted under these conditions will

require the following investigative procedures.

- National Crime Information Center (NCIC) Check

- Completion of the Contractor Pre-employment Form

(attachment 7-16)

The Personnel Security Officer will be responsible for

maintaining a file with this information.

(2) Construction/Maintenance Contracts: This includes all

contracts involving construction/maintenance projects

of institutional facilities that are advertised and

granted competitively through appropriate Federal

Government and Contracting Regulations.

In major projects of this type, construction and

maintenance crews are usually required to work within

the secured perimeter of an institution. There is

usually little or no inmate contact permitted, and

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there is usually close BOP supervision by institution

staff of the contractor's employees. Mobility in and

out of the institution compound is closely monitored

and controlled.

The following investigative procedures apply to all new

contracts of this type being advertised by the Bureau

of Prisons. The appropriate investigative forms shall

be completed on all of the contractor's and/or

subcontractor's crew members before an individual is

permitted within the secure perimeter of an

institution.

Prospective contractors must be advised through the

contracting advertisement process that the following

security measures will be applied to all contract

employees who will be working under the terms of the

contract:

- National Crime Information Center (NCIC) Check

- Name Check

- Fingerprint Check (FD-258)

- Application for Federal Employment (SF-171)

- Completion of the Contractor Pre-employment Form

(attachment 7-16)

- Release of Information

Prospective contractors will also be apprised that

individuals on their crews who are determined not

suitable by BOP requirements will be unable to work

within the secure perimeter of an institution. This

will be a condition of the contract.

In addition, a pre-bid conference shall be held by the

contracting office, with the contractor and other

concerned staff to discuss on-the-job security

procedures. The security briefing should be conducted

by correctional services personnel emphasizing the

security aspects of the institution. NOTE: NO

URINALYSIS TEST FOR THE DETECTION OF DRUG USAGE WILL BE

REQUIRED FOR THESE INDIVIDUALS. The following

procedures will be followed when processing

construction/maintenance contract employees:

Responsibilities of the Personnel Security Officer

- National Crime Information Center (NCIC) Check

- Name Check

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Responsibilities of the Program Manager

- FD-258 Fingerprint Check

- Completion of Application for Federal Employment

(SF-171)

- Completion of the Contractor Pre-employment Form

(attachment 7-16)

- Completion of Release of Information

All security forms and documentation will be filed in

the individual's contract personnel security file which

will be maintained by the Personnel Security Officer.

If derogatory information is uncovered after the

individual has been permitted inside the secured

perimeter of an institution, a decision must be made by

the institution personnel security officer as to (1)

the suitability of the individual; and (2) as to

whether to permit the contract employee further access

to the institution. This should be done in

consultation with the Warden and/or Chief Correctional

Supervisor. If it is determined that the contract

employee cannot be allowed further access to the

institution, the Financial Management Contracting

Officer will be notified in writing so that he/she can

apprise the contractor as soon a possible. All

institution gate passes will be withdrawn.

The primary consideration in making these types of

determinations should be that the individuals past or

present conduct will not promote the efficient

operation of the Bureau of Prisons and that this

conduct may indicate a risk for abusing the Bureau of

Prisons' mission. Examples of disqualifying conduct

are:

Criminal, dishonest, infamous, or notoriously

disgraceful conduct;

Habitual use of intoxicating beverages to excess;

Use and/or distribution of narcotic, drugs, or

other controlled substances;

Reasonable doubt of loyalty to the United States.

Exceptions: Chief Executive Officers may exempt

contractors who will not be entering the secure

perimeter of the institution and will not have any

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contact with inmates. This exemption must be in

writing and maintained by the Personnel Security

Officer. Contractors who will be providing service to

new institutions before inmates are assigned to that

location may be exempted by the Regional Director.

(3) Contracting of Total or Partial Program Services: The

contracting of food and medical services includes the

delivery of program services (e.g., preparing food for

inmates) which will require frequent and unsupervised

contact between the contractor's employees and inmates.

The following requirements apply to those individuals

involved in the delivery of food and medical services

within an institution.

Responsibilities of Personnel Security Officer

- National Crime Information Center (NCIC) Check

- Name Check

Responsibilities of Program Manager

- FD-258 Fingerprint Check

- Law Enforcement Agency Checks (Attachment 7-7)

- Vouchering of employers over the past five years

(Attachment 7-6)

- Completed SF-171 (Application for Federal

Employment)

- Release of Information

NOTE: These requirements will be agreed to by the

individual interested in obtaining a contractual agreement

with the BOP before the contract is granted.

In addition to the above procedures, the Financial

Management Contracting Officer will ensure through the

contracting process that each prospective individual

contractor is advised that a urinalysis is required

before the contract is awarded. If the test is

positive the contractor will be disqualified from being

awarded the contract. This requirement must be

included in the solicitation or request for services.

Exceptions: Individual contractors who have been

delivering the same services to an institution over a

period of 3 or more years may be exempt from these

procedures at the discretion of the Chief Executive

Officer.

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Chief Executive Officers may exempt consulting

physicians entering the institution on an infrequent

basis (i.e. less than once a week) from the required

investigative procedures. Chief Executive Officers

should use prudent judgement in this matter and may

exempt other individuals whose services have been

identified as difficult to contract. These exemptions

must be in writing and signed by the Chief Executive

Officer. These exemptions will be placed in the

individual's personnel security file.

b. WITNESS SECURITY CONTRACTS. All contract employees that

are directly involved with working with Witness Security inmates;

related sensitive information; data; and/or any material that may

provide disclosure of a Witness Security inmate's identity will

be required to have a limited background investigation completed.

While the investigation is being conducted, these contract

employees may start their contractual services only if they have

been thoroughly vouchered as described in section a. (1) a.

Individual contracts and the urinalysis criteria is met. Cost of

the LBI will be included in the contract for services.

6. IDENTIFICATION PASSES. The requirements established in this

Program Statement are the minimum standards. Additional

requirements concerning identification passes may be added by

issuing a local institution supplement.

There are two types of contract gate passes: Contract escorted

(BP-225), and Contract-unescorted (BP-226). Escorted passes

should be issued to contract employees who require an escort

while in the institution. Unescorted passes will be worn by

persons not requiring an escort. These passes should carry the

Associate Warden's seal, be signed by the Associate Warden

(Programs) and renewed every year.

Two cards will be utilized on each person. One card will be

completed on both sides and maintained in the control center.

The other card will be completed on one side (personal data

should not be completed), laminated and worn by the employee on

an area which is visible. Institution will purchase a clip-on

lamination set for this purpose.

Institutions will be responsible for accountability and

assignment of their own numerical system. The numbers assigned

to the card to be worn and the card maintained in the control

center will be the same.

7. FILE RETENTION. The Personnel Security Officer will review

security files monthly. Files will be compared to the

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responsible program manager's monthly report. Any files for

contractors not currently employed will be moved to an inactive

file. If these contract employee are inactive for six months

their files will be destroyed and a new investigation will be

required before they can reenter the institution.

8. EXEMPTIONS. Exemptions to the procedures outlined in this

Program Statement not specifically addressed may be granted by

the respective Regional Director. Requests for exemptions should

be based on the needs of the particular individual and/or the

work setting involved. Exemptions will be based on an evaluation

of the risk involved and may not be made solely on the

availability of supervisory resources. A copy of the waivers

should be filed in the appropriate individual contract personnel

security file.

731.3 URINALYSIS TESTING FOR EMPLOYMENT

* 1. PURPOSE AND SCOPE. To establish urinalysis testing

procedures for employment of applicants and contractors.

2. RESPONSIBILITIES

a. The Bureau of Prisons maintains a contract with a national

reviewer who is responsible for reviewing applicant and

contractor drug test results. The national reviewer is primarily

responsible for electronically transmitting urinalysis results to

the appropriate Human Resources office utilizing management

software, Specimen Management And Results Tracking (SMART),

developed for the Federal government.

b. The National Drug-Free Workplace Coordinator shall ensure

each HRM office receives software for the electronic transmission

of applicant and contractor donor information and certified test

results.

3. PROCEDURES. These procedures will significantly decrease the

length of time required to obtain a completed drug test result.

The software, SMART, will be utilized and installed on one HRM

computer equipped with a modem. Access to SMART records shall be

password protected.

Procedures for obtaining urine specimens shall be in accordance

with the Program Statement on Drug Free Workplace.

a. At Time of Physical. For each applicant or contractor

tested, Health Services shall provide the EMPLOYER copy of the

chain-of-custody document to the HRM office. Taking information

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from this form, an HRM staff member shall enter the following

information into the SMART system:

!Donor Name and Social Security Number

!Donor Gender

!Reason for Test: Applicant or Contractor

!Specimen Number

!Institution City and State Abbreviation

!Collection Date

This information must be transmitted to the contractor the same

day as specimen collection. Failure to transmit in a timely

manner may cause delay in receipt of the certified test result.

The EMPLOYER copy (blue) of the specimen chain-of-custody form

shall become a part of the pre-employment interview packet.

b. Applicant/Contractor Drug Test Results. Completed test

results will be made available to HRM offices through the SMART

software.

Each time the local SMART system is connected to the contractor

SMART system, the local SMART will be updated with specimen data

obtained since the last connection. A user may access the SMART

system to check the status of a particular result even if there

are no new donor cases to transmit.

c. Other Information Available through SMART. Other

information which can be accessed by the HRM office through the

local SMART system includes the day the:

!Specimen is received at the laboratory;

!Laboratory reported test result to the contractor; and,

!Contractor made the certified test result available to

the Bureau.

d. Test Result Appears Delayed. If a problem with a specific

case is suspected, HRM staff may contact the contractor or the

Drug-Free Workplace Coordinator for assistance.

e. Using SMART. The contractor will provide software

documentation for SMART. The National Drug-Free Workplace

Coordinator shall provide additional instructions for Bureau use.

4. BASIC PROGRAM REQUIREMENTS. A urinalysis test shall be

administered to all Bureau applicants and contractors seeking

employment. Whenever the results of a urinalysis are positive,

and this result cannot be justified by the presence of

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prescription drugs, the individual shall not be employed with the

Bureau.

Vacancy announcements that are released outside the Bureau and

OF-5's (Inquiries of Availability) shall include a statement that

a urinalysis test is required for outside applicants for

appointment to a Federal Bureau of Prisons position. *

750.1 PROCESSING DISCIPLINE AND ADVERSE ACTIONS

1. PURPOSE AND SCOPE. To establish procedures for processing

discipline and adverse actions.

2. PROPOSING OFFICIALS. Normally, the following officials will

be the proposing officials for disciplinary and adverse actions.

Variations to fit unique circumstances are permitted and nothing

in this section precludes the proposing official being at a

higher or lower level than specified.

a. Institutions

(1) Department Heads are the proposing officials for

subordinate staff in their departments.

(2) Associate Wardens, Assistant Superintendents (of

Federal Prison Camps) and Superintendents of UNICOR are

the proposing officials for subordinate department

heads.

(3) Chief Executive Officers are the proposing officials

for Associate Wardens, Assistant Camp Superintendents,

Superintendents of UNICOR and for any other staff

members who report directly to the Chief Executive

Officer.

b. Regional Offices

(1) Regional Administrators are the proposing officials for

subordinate regional office staff.

(2) Deputy Regional Directors are the proposing officials

for regional administrators.

(3) Regional Directors are the proposing officials for

Deputy Regional Directors, institution Chief Executive

Officers and for any other staff members who report

directly to the Regional Director.

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c. Staff Training Centers. The respective supervisor is the

proposing official for staff training center personnel.

d. National Institute of Corrections. The respective

supervisor is the proposing official for NIC personnel.

e. Central Office

(1) Branch Chiefs or UNICOR Division Managers are the

proposing officials for subordinate staff in their

branches or divisions.

(2) Deputy Assistant Directors/Commissioners are the

proposing officials for Branch Chiefs in their

divisions.

(3) Assistant Directors are the proposing officials for

Deputy Assistant Directors and other staff who report

directly to an Assistant Director in their divisions.

3. DECIDING OFFICIALS. Normally, the following officials will

be the deciding officials for discipline and adverse actions.

Variations to fit unique circumstances are permitted and nothing

in this section precludes the deciding official being at a higher

level than specified.

a. Institutions. The Chief Executive Officer is the deciding

official for all cases proposed by a subordinate.

b. Regional Offices. The Regional Director is the deciding

official for all cases proposed by a Regional Administrator,

Deputy Regional Director or institution Chief Executive Officer.

c. Staff Training Centers. The Director, Management and

Specialty Training Center, Chief of Instructional Systems Design

or the Director of the Staff Training Academy is the deciding

official for all cases proposed by a subordinate.

The Deputy Assistant Director, Human Resource Management

Division, is the deciding official for all cases proposed by a

subordinate Branch Chief.

d. National Institute of Corrections. The Director of NIC is

the deciding official for all cases proposed by a subordinate.

The Director is the deciding official for all cases proposed by

the Director of NIC.

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e. Central Office. The appropriate Assistant Director or

Deputy Assistant Director is the deciding official for all cases

proposed by Regional Directors and all cases proposed by a

subordinate at the Central Office level.

The appropriate Assistant Director is the deciding official for

all cases proposed by a Deputy Assistant Director.

The Director is the deciding official for all cases proposed by

an Assistant Director.

4. APPROVAL OF PROPOSAL AND DECISION LETTERS

a. Disciplinary Actions. Institution HRM offices will secure

the approval of the Regional HRM office and consult LMR as needed

prior to issuing any disciplinary action proposal or decision

letter. Institutions may obtain technical assistance from

Regional HRM offices regarding appropriate charges, supporting

evidence, appropriate penalties and other aspects of the case.

Regional HRM offices should obtain advice or assistance from the

LMR Section as needed in making these determinations.

b. Adverse Actions. Institution HRM offices will secure

technical assistance and advice from the Regional HRM office and

approval from the LMR Section prior to issuing any adverse action

proposal or decision letter. Technical assistance on adverse

action cases may be obtained by institutions directly from LMR.

c. Clearance from Office of Internal Affairs. Institution HRM

offices must verify that the proper clearance for initiating an

action has been received from the Office of Internal Affairs.

The required verification includes:

(1) Local investigations: The investigation was authorized

and the investigator's final report was approved by

OIA.

(2) Other investigations: The final report was received

from OIA.

Verification may be verbal and must be made prior to requesting

approval of disciplinary or adverse action letters.

d. Performance Warning Letters. Institution HRM offices will

secure the approval of the Regional HRM office and the LMR

Section prior to issuing a performance warning letter. See

Sections 430.1 and 430.2 for additional instructions on contents

of performance warning letters.

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5. NOTIFICATION TO THE LMR SECTION

a. Disciplinary Actions. At the time a proposal or decision

letter is issued in a disciplinary action, the HRM office will

forward a copy of the letter to LMR.

b. Adverse Actions. Prior to issuing a proposal or decision

letter in an adverse action, the HRM office will forward a copy

of the final draft to LMR for approval and verification that

their recommendations and guidance have been implemented.

It is not necessary to send LMR a copy of the letter after

issuance or a copy of the complete adverse action file.

6. GRIEVANCES AND MSPB APPEALS. Upon receipt of a request for

arbitration of a disciplinary action or an adverse action, the

HRM will immediately notify the Regional HRM and LMR and forward

a copy of the grievance file to LMR.

Upon receipt of notice of an MSPB appeal, the HRM will respond to

the MSPB order for documents and prepare an identical tabbed case

file for LMR and MSPB. The Chief of Labor Management Relations

will be designated as the representative for the Agency.

771.1 AGENCY GRIEVANCE PROCEDURE

1. PURPOSE AND SCOPE. This section provides a grievance

procedure applicable to all Federal Bureau of Prisons employees

to aid in the settlement of matters of employee dissatisfaction.

2. DIRECTIVES AFFECTED

Directives Referenced

a. FPM Chapter 771

b. DOJ Order 1752.1A Discipline and Adverse Actions

c. DOJ Attorney Personnel Memorandum #91-7A

d. DOJ Order 1771.1B.

e. 5 CFR 771, 315.

f. 5 U.S.C. 3321.

3. EMPLOYEES COVERED. These procedures apply to all employees

of the Federal Bureau of Prisons except employees who are members

of the bargaining unit and are thereby covered by the Master

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Agreement between the Bureau of Prisons and the Council of Prison

Locals, AFGE.

4. POLICY. The Bureau of Prisons strongly endorses the concept

that grievances be resolved informally between the employee and

supervisor, if possible, and, if not, at the earliest possible

step of the grievance procedure. Any employee covered by this

section is entitled to present a grievance under this procedure.

5. ACTIONS COVERED. This procedure applies to any matter of

employee concern or dissatisfaction which is subject to the

control of management officials of the Department of Justice

except that the following matters are excluded:

a. Matters listed in 5 CFR 771.

b. The return of an employee from an initial appointment as a

supervisor or manager to a non-supervisory or non-managerial

position for failure to satisfactorily complete the probationary

period under 5 USC 3321(a)(2) and 5 CFR 315.

c. A performance rating of a member of the Senior Executive

Service.

d. Any aspect of a removal, separation or termination of an

excepted service employee and termination for inadequate

performance or conduct during a probationary or trial period.

6. PROCEDURE

a. General

(1) Each step of the procedure must be completed before

proceeding to the next step.

(2) An employee alleging a grievance must present it within

fifteen calendar days after the incident occurs. A

grievance concerning a continuing practice or condition

may be presented at any time. An employee is entitled

to a representative of his/her choice in pursuing a

grievance, subject to the conditions in 5 CFR 771.

(3) A grievance will be rejected for any of the following

reasons: the employee fails to complete the informal

procedure; the grievance is not timely filed; it

consists of a matter or matters excluded from coverage

under this procedure; the requested relief is not

personal to the grievant; or the grievance does not

contain sufficient detail to identify and clarify the

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basis for the grievance. Any rejection of a grievance

will be in writing, stating the reason(s) for the

rejection.

(4) A grievance contesting a performance rating or any part

of a performance rating is an exception to the informal

and formal procedures outlined in this section.

Performance rating grievances are processed in

accordance with the procedures in paragraph 4 of this

section.

b. Informal Procedure. An employee must complete action under

the informal procedure before a grievance will be accepted under

the formal procedure, except that a grievance about a

disciplinary action subject to this procedure may be initiated at

a higher step if the supervisor does not have the authority to

grant the relief sought by the grievant.

(1) An employee alleging a grievance as specified in this

section must present the matter in writing to his/her

immediate supervisor, either alone or with a

representative.

(2) The immediate supervisor will give consideration to all

available facts and will notify the employee of the

disposition of the grievance as soon as possible but no

later than five calendar days following the date the

grievance was presented.

c. Formal Procedure

* (1) If the grievance is not satisfactorily resolved

informally, the employee, directly or through a

representative, may present the grievance in writing to

the agency's deciding official (the Warden or designee)

within five calendar days following the informal

decision. For regional office employees, the agency's

deciding official is the Regional Director or designee.

For Central Office employees, the agency's deciding

official is the Assistant Director of the respective

division, or designee. The grievance must include the

specific nature of the grievance, the personal relief

requested by the grievant, and the signature of the

grievant or the grievant's representative.

(2) The agency's deciding official shall review the

grievance and notify the grievant of a decision within

ten calendar days following receipt of the grievance.

If the relief sought by the grievant is granted, the

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decision to that effect is final and there is no

further right of administrative appeal.

(3) Except for grievances involving disciplinary actions,

if the relief requested is not granted and the grievant

is not satisfied with the proposed resolution, the

grievance shall be resolved in one of the two following

ways. A grievance involving a disciplinary action must

be referred to a fact-finder.

(a) If the central facts of the grievance are not in

dispute, the grievance shall be forwarded to the

next higher level supervisor who, in consultation

with the Bureau Personnel Director and the Chief

of Labor Management Relations, shall make a final

decision; or

(b) If the central facts of the grievance are in

dispute or the grievance involves a disciplinary

action, the agency's deciding official shall

forward the grievance file to the Chief of Labor

Management Relations within five calendar days

with a request for appointment of a fact-finder.

A request for appointment of a fact-finder shall

include the name, mailing address and telephone

number of the grievant, grievant's representative

(if any) and the agency's deciding official.

The fact-finder's inquiry shall be conducted in

accordance with the provisions of the DOJ Order

1771.1B. The fact-finder's report and

recommendations shall be sent to the agency's

deciding official. Normally, the fact-finder's

recommendations will be accepted and a final

decision issued accordingly within ten calendar

days of receipt. If the agency's deciding

official does not accept the fact-finder's

recommendations, the reasons for the disagreement

shall be reduced to writing and sent to the next

higher level management official, along with the

grievance file, for final decision. A copy of the

fact-finder's recommendations and reasons for

disagreement shall be sent to the grievant or the

grievant's representative at the same time. *

d. Performance Rating Grievances

(1) A grievance contesting a performance rating or any part

of a performance rating will be resolved by a

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Performance Rating Grievance Committee (PRGC) which is

the sole administrative procedure for contesting a

performance rating. This procedure does not apply to

attorneys or members of the Senior Executive Service.

(2) The time limits described in paragraph 1b of this

section apply to performance rating grievances.

Specifically, an employee must present a performance

rating grievance to their servicing HRM office within

fifteen calendar days of receiving an official reviewed

rating.

(3) An employee is entitled to be represented at any stage

of a performance rating grievance, however, neither the

employee nor the representative has the right to be

present at PRGC meeting or deliberations and there is

no right to an oral presentation before the PRGC.

(4) Upon receipt of a performance rating grievance, the

PRGC will be convened on an ad hoc basis and will

consist of three members: (1) the Human Resource

Manager who will chair the committee; (2) a member

designated by the grievant and (3) a member designated

by the Chief Executive Officer. The grievant's and

agency's members must be current Department of Justice

employees who were not involved in the performance

rating in question and who live within the commuting

area of the facility in which the grievance arose.

(5) The PRGC is empowered to provide an impartial review of

employee requests for review of overall performance

ratings and/or individual element ratings or remarks

that are part of the official rating. The purpose of

the PRGC is to make an impartial determination based

upon the facts presented for review. The committee's

review extends only to evidence which relates directly

to the employee's performance and is based on a review

of the written record. The official record will

consist of the employee's comprehensive statement, the

rating official's reply, the employee's final statement

and the attachments to these submissions. The

committee is authorized to:

- Increase an overall rating,

- Increase an element rating,

- Remove remarks,

- Leave the rating unchanged,

- Return the rating to the rating or reviewing

official for further consideration, in which case

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the PRGC will render a final decision following

such further consideration.

(6) The PRGC will settle all issues by majority vote and

will issue a written decision which includes a summary

of the facts considered and the corrective action, if

any, to be taken. Except as described below, the

written decision of the PRGC is final and binding and

is not subject to further administrative review.

(7) In accordance with 5 CFR 430.407(e), a member of the

Performance Management Recognition System may request

that a decision of a PRGC be reconsidered. In that

case, an official at a higher level in the organization

than the rating, reviewing or approving official,

unless there is no one at a higher level, will review

the record and issue a decision. The decision of the

higher level official is final and there is no further

administrative review. It is the responsibility of the

PMRS employee to submit a copy of the PRGC decision,

together with all of the supporting materials, when he

or she requests reconsideration. New arguments, issues

or rebuttals will not be presented. Reconsideration of

a PRGC decision is limited to a review of the official

record.

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CHAPTER 8

810.1 WORKER'S COMPENSATION

1. PURPOSE AND SCOPE. To establish procedures for the

administration of the Worker's Compensation Program. All Federal

Bureau of Prison employees' claims of job-related injury or

occupational disease will be processed as quickly as possible.

Responsible officers will exercise diligence in the investigation

of accidents and in the administrative aspects of this program to

preclude any delay in the submission of claims.

2. DIRECTIVES AFFECTED

Directive Referenced

FPM Chapter 810

3. PROCEDURES. Administration of this program will be in

accordance with regulations of the Federal Employees'

Compensation Act and Chapter 810 of the Federal Personnel Manual.

This program is the responsibility of the employee's Occupational

Safety and Health Program.

831.1 FEDERAL PRISON RETIREES ASSOCIATION

1. PURPOSE AND SCOPE. To describe the Federal Prison Retirees

Association. The Federal Prison Retirees Association is a

nationwide private social organization. Membership in the

Association or inclusion in their directory is voluntary.

2. MEMBERSHIP APPLICATION. The Privacy Act of 1974 prohibits

HRM offices from providing the Retirees Association with names

and addresses of retirees; therefore, HRM offices will give a

copy of the Retirees Association membership application

(Attachment 8-1) to each retiring employee and survivors of

deceased employees.

875.1 PUBLIC SAFETY OFFICERS' BENEFITS PROGRAM

1. PURPOSE AND SCOPE. To describe the Public Safety Officer's

Benefits Program.

2. DIRECTIVES AFFECTED

Directive Referenced

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Statutes cited in this section are contained in P.L. 98-473,

the Public Safety Officers' Benefits Act (PSOB).

3. BENEFITS. Public Law 98-473, the Public Safety Officer's

Benefit Act (PSOB), provides for a $100,000 payment to the

eligible survivors of law enforcement officers who die as the

direct and proximate result of a personal injury sustained in the

line of duty. This Act covers all correctional officers as well

as any other BOP employee killed while performing correctional

officer-type functions. The benefit was increased from $50,000

to $100,000 for deaths occurring on or after June 1, 1988.

Beginning on October 1, 1988 and on each October 1 thereafter,

the benefit is adjusted by the percentage of change in the

Consumer Price Index.

a. The PSOB payment is made in the following manner:

(1) If there are no surviving children, to the spouse.

(2) If there is no surviving spouse, to the child or

children in equal shares.

(3) If there are children and a surviving spouse, one-half

to the spouse and one-half divided among the children

in equal shares.

(4) If none of the above, the payment will be made to the

parent or parents of the deceased in equal shares.

The deceased must be survived by an eligible survivor

for a benefit to be paid.

b. The law defines children as being 18 years of age or

younger, a dependent student age 19 to 22 or a person over 18

years of age who is dependent because of physical or mental

disability.

c. No benefits under this law will be paid:

(1) If the death was caused by intentional misconduct or

suicide;

(2) If the officer was intoxicated by alcohol or drugs;

(3) If the officer was performing his/her duties in a

grossly negligent manner;

(4) To anyone who contributed to the death of the officer.

(e.g., if a husband assisted an inmate in an escape

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attempt which resulted in the death of his Correctional

Officer wife, no payment would be made to the husband,

but it may be made to the children); or

(5) If the death was caused by an occupational illness or

chronic disease, unless there is a traumatic injury

which was a substantial factor in the death.

d. The PSOB benefit is paid in addition to other benefits and

it is exempt from federal income tax and the federal estate tax.

4. PROCEDURES

a. The local HRM office will initiate the claim by telephoning

the Bureau of Justice Assistance. The following information is

necessary to file a claim:

(1) Deceased's full name,

(2) Deceased's occupation,

(3) Date of injury and date of death,

(4) City and state where death occurred,

(5) Cause of death and brief description of the

circumstances,

(6) Name and address of surviving spouse, if applicable,

(7) Names and ages of surviving children and/or

stepchildren, if applicable,

(8) Name, address and telephone number of the person to

contact in the local HRM office who will be processing

the claim,

(9) If the deceased was single and without children, the

names of the parents.

b. The Bureau of Justice Assistance will provide information

on the filing of a claim under PSOB. In advance of receiving

that information, HRM's should be aware of the kind of

documentation which must be submitted with the claim. Following

are examples of information which may be required:

(1) Investigation report and detailed statement of

circumstances surrounding the death. The report must

be on Department letter head, bear an original

signature and be notarized.

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(2) If death was caused by an obvious traumatic injury, an

affidavit to that effect must be provided by the

attending physician. If there is no obvious traumatic

injury, a complete autopsy report bearing original

signatures and notarized must be provided.

(3) Toxicology report bearing original signature and

notarized.

(4) Original copy of death certificate.

(5) Deceased's official position description, bearing the

original signature of the HRM and notarized.

(6) Deceased's marriage certificate (original).

(7) Deceased's divorce decree, if applicable (original).

(8) Birth certificates of all surviving children

(originals).

(9) If deceased is survived by a child born posthumously,

indicate expected delivery date and provide a certified

copy of the birth certificate when the child is born.

c. After the above information has been received by the Bureau

of Justice Assistance, the appropriate claim forms will be mailed

to the local HRM office for completion. The local HRM office

will complete the forms promptly and return them to:

Public Safety Officers' Benefits Program

Bureau of Justice Assistance

633 Indiana Avenue, N. W.

Washington, D. C. 20531

d. If assistance is needed or if there are any questions

regarding the processing of claims, eligibility or benefits, they

should be directed to the Benefits, Awards and Professional

Development Section.

880.1 PROCEDURES IN THE EVENT OF STAFF DEATHS

1. PURPOSE AND SCOPE. To establish procedures in the event of

staff deaths. It is the policy of the Federal Bureau of Prisons

to properly recognize employees in the event of their death and

to ensure that surviving family members receive all allowable

benefits.

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The death of a Bureau employee, whether occurring in the line of

duty or off the job, is a tragic event and is especially

traumatic for the family. It is extremely important that Bureau

employees demonstrate a great deal of sympathy for surviving

family members and be sensitive to fulfilling the needs of the

family by processing claims for benefits as expeditiously as

possible.

The death of an employee is usually unexpected and shocking.

Arrangements and benefits are typically researched and planned in

a hurry and important and sensitive details may be overlooked.

The procedures in this section are designed to ensure that

surviving family members receive the maximum allowable benefits

in a timely manner and to ensure that the deceased employee's

family receives all the support and assistance the Bureau of

Prisons can provide.

2. DIRECTIVES AFFECTED

Directives Referenced

a. P.S. 3790.01 Collection of Charitable Funds (10/21/85)

b. FPM Supplement 830-1

c. NFC Payroll/Personnel Processing Manual

3. PROCEDURES FOR STAFF DEATHS

a. The Chief Executive Officer will inform the Director

immediately and keep him/her informed of all activities underway.

b. For on the job staff deaths, the CEO will personally notify

the immediate family in person. For deaths occurring off the

job, the CEO will personally contact the family to offer

condolences. Other Bureau staff (e.g. chaplain, psychologist,

close friends) may be involved at the time of the notification as

deemed appropriate by the CEO.

c. For deaths resulting from inmate assaults, the Bureau of

Prisons Congressional Liaison will notify the Department of

Justice Office of Legislative Affairs (Congressional Liaison) and

the Congressional offices located within the state in which the

institution is located.

d. The Bureau's Public Information Officer will be notified

immediately for publication in the Monday Morning Highlights.

e. For deaths resulting from inmate assaults, the U. S. flag

will be flown at half-mast for two days at each BOP facility

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throughout the Federal Bureau of Prisons. This will be

coordinated by the Bureau's Public Information Officer.

f. As soon as advisable after notification, the HRM will

contact the family and explain all survivor benefits, including

annuities, insurance, and Social Security claims. In the case of

a job-related staff death, the HRM (or Safety Manager) should

inform the family about OWCP benefits and the Safety Manager

should provide and process the necessary forms. Every effort

will be made to accommodate the family. Long-distance paperwork

will be expedited by overnight mail and, when possible, other

documents will be hand-carried.

g. The Personnel Branch will designate an individual to work

with institution personnel to help expedite and coordinate

arrangements and paperwork involved at the Central Office level.

h. The institution Chaplain and/or Psychologist will be on

call to provide assistance and counseling to the family. For on

the job deaths they should periodically contact the family to

offer their services and should maintain a supportive

relationship for at least several weeks following the death.

i. Bureau of Prisons staff traveling in the area on official

business are encouraged to attend any memorial service, although

there is no authority to authorize travel for the purpose of

attending a memorial or funeral service. As feasible, for on the

job deaths, the CEO may authorize administrative leave and, for

off the job deaths liberal annual leave may be granted to attend

a memorial or funeral service.

j. For on the job deaths (with the family's concurrence), an

honor guard, consisting of BOP uniformed employees, will

accompany the body from the service to the final resting place,

if local. This will be coordinated at the institution level.

k. The CEO will present the family with the BOP flag and an

inscribed BOP carriage clock. The local HRM will order the BOP

flag and clock from the BAPD Section, providing the deceased

employee's name, position title, beginning date of BOP service,

total BOP service and date of death (sentry ID BOP BAPD).

l. For on the job deaths, in accordance with P.S. 3790.1, the

CEO will immediately seek the Director's approval for Bureau-wide

collection of charitable funds for the family. Approval will be

sought, as deemed necessary by the CEO, for off the job deaths.

m. The CEO will encourage participation of surviving family

members in future institution and Employee Club functions.

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n. HRM's should provide survivor(s) with a copy of the

Employee Benefits in Times of Crisis booklet.

4. APPLICATION FOR PUBLIC SAFETY OFFICER'S DEATH BENEFIT

COVERAGE UNDER FERS OR CSRS. See Section 875.1 for additional

instructions and information on the Public Safety Officer's

Benefit.

5. SOCIAL SECURITY. The HRM will immediately contact the local

Social Security office as Social Security benefits are not paid

automatically and forms are not available beforehand. Be

prepared to furnish the following documents:

a. Marriage certificate.

b. Birth certificate of the deceased.

c. Birth certificates of children under 18.

d. Proof of widow or widower's age if 62 or older.

e. Record of income for preceding year.

f. Proof of termination of any previous marriages.

g. Original copies of death certificate (12 or more may be

required).

h. The following forms may be applicable in some situations:

(1) SSA-4 - Application for child's insurance benefit.

This application is used to file for benefits for a

child of a wage earner. It includes children 18 or 19

who are full-time students, or children over 18 who

became disabled prior to age 22. The SSA-4 is used

whether or not the wage earner is living.

(2) SSA-5 - Application for mother's and father's insurance

benefits. This application is used by a widow/widower

of a deceased who has an eligible child in care.

(3) SSA-7 - Application for parent's insurance benefits.

This application is completed by a dependent parent of

a deceased wage earner.

(4) SSA-8 - Application for lump sum death payment.

(5) SSA-10 - Application for widow's and widower's

insurance benefits. For a wage earner's widow or

widower age 50 to 60 and disabled or age 60 and over.

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6. OTHER SURVIVOR BENEFITS. The following organizations may

offer death benefits. The HRM should encourage the survivor(s)

to contact the organizations listed below.

a. Veterans Administration.

b. Local AFGE Chapter (or chapter where deceased employee was

a member).

c. Credit Union.

d. Employees' Club.

e. Local and State victim's compensation programs.

f. State welfare entitlements.

g. U.S. military

h. Federal Prison Retirees Association (see Attachment 8-1)

7. REFERENCES. When processing death claims, HRM's should refer

to FPM Supplement 830-1 and the NFC Payroll/Personnel Processing

Manual.

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CHAPTER 9

990.1 STAFF UNIFORMS AND UNIFORM ALLOWANCES

1. PURPOSE AND SCOPE. Title 5, U.S.C., Section 5901 authorizes

agencies to issue a uniform allowance to those employees who are

required by the agency to wear a prescribed uniform. The Office

of Personnel Management (OPM) is responsible for issuing

regulations pursuant to this authority. The U. S. Code currently

limits each uniformed employee's maximum allowance to $400 per

year. OPM may, from time to time, adjust the maximum allowance

by regulation. The allowance for each prescribed uniform shall

be negotiated with the Union up to the maximum allowed by law or

regulation. Any exceptions or changes in clothing allowance

amount will be provided to institutions through Operations

Memoranda.

2. DIRECTIVES AFFECTED

Directives Referenced

a. Title 5, U.S.C., Section 5901

b. P.S. 5500.03, Correctional Services Manual, (06/30/89).

c. P.S. 4400.02, Property Management Manual, (07/16/90).

d. P.S. 4700.03, Food Service Manual, (06/10/91).

e. P.S. 6000.03, Health Services Manual, (03/15/90).

3. DEVELOPMENT, MANAGEMENT AND CONTROL OF UNIFORM REQUIREMENTS.

The Director retains all authority for prescribing a uniform

requirement, authorizing a uniform allowance and specifying

uniform items. A Bureau of Prisons Staff Uniform Committee shall

convene as directed by the Chairperson to review proposals and

formulate recommendations to the Director. Each Warden is

delegated the authority, consistent with this policy and the

Property Management Manual, to prescribe protective clothing, and

develop procedures for wearing any uniform. Local procedures

will be developed in accordance with the Master Agreement.

A uniform requirement not currently authorized for staff by this

policy is to be established by submitting a proposal to the

Executive Staff. If approved by the Executive Staff and the

Director, the proposal will be directed to the Committee to

formulate a recommendation for the prescribed uniform clothing

items and uniform allowance. The recommendation, including a

statement of funds availability signed by the Assistant Director,

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Administration Division, will be forwarded to the Director for

final approval. If requested by the Council of Prison Locals,

committee recommendations approved by the Director will be

subject to bargaining on impact and implementation.

4. BUREAU OF PRISONS STAFF UNIFORM COMMITTEE

a. Membership. Standing Committee membership shall be:

(1) Deputy Assistant Director, Human Resource Management

Division, Chairperson.

(2) Chief, Labor-Management Relations, Coordinator.

(3) Chief, Office of Procurement and Property.

(4) Correctional Services Administrator.

(5) Controller, UNICOR.

(6) President, Council of Prison Locals (or designee).

The Chairperson shall appoint ad-hoc members as needed

representing the services most directly concerned with the

uniform proposal under consideration.

b. Committee Functions. The Committee shall:

(1) Conduct research in reference to Committee agenda.

(2) Review requests and proposals for changes to current

staff uniform policies and allowances, and develop

recommendation to the director.

(3) Review proposals and formulate recommendations to the

Director concerning uniform clothing items and

allowances for newly staff members.

(4) Recommend and review staff surveys and questionnaires

pertaining to uniforms and make recommendations based

on survey results.

(5) Seek solutions to problems and concerns submitted to

the Committee.

(6) Complete other assignments as referred by the Director,

the executive staff, the HRM Wardens Advisory Group or

the Committee Chairperson.

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c. Committee Chairperson Functions. The Chairperson shall:

(1) Receive suggestions, proposals and concerns as

submitted by management or union officials for direct

response or processing through the committee, as

appropriate.

(2) Convene and conduct Committee meetings.

(3) Monitor Committee action and conduct follow-up

activities.

(4) Respond to questions, concerns and recommendations that

do not warrant a full Committee meeting for discussion

and review.

d. Committee Coordinator Functions. The Committee Coordinator

shall:

(1) Schedule meetings at the call of the Chairperson, make

arrangements for the meeting site, and notify all

members.

(2) Prepare and distribute agenda and minutes.

(3) Coordinate pre-meeting and follow-up activities.

5. ISSUANCE OF UNIFORM ALLOWANCE

a. Amount. Each employee who occupies a position for which

there is a prescribed uniform will be issued an annual allowance

in the appropriate amount shown in Attachment 9-1.

b. Procedures

* (1) Servicing HRM offices shall authorize a uniform

allowance for each eligible employee using the

Authorization to Receive Uniform Allowance form

BP-374(30), when eligibility is established and

annually on the employee's eligibility date. *

(2) Any employee who changes from one uniformed position to

another position which requires a different uniform

shall be given the full authorized amount for the new

uniform. The effective date of the change becomes the

new anniversary date for issuance of the uniform

allowance. Pro rata repayment of the initial allowance

is not required.

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(3) Any employee detailed to another institution for an

extended period due to an emergency situation, in a

position requiring a uniform or a different uniform

than the employee usually wears, is entitled to a

minimum of one-half of the uniform allowance for the

detailed position. Any determinations of a reasonable

allowance over the minimum is to be made on a case by

case basis.

(4) Employees, detailed in non-emergency situations to

positions requiring a different uniform, are entitled

to an appropriate uniform allowance for the new

uniform. For example, an employee who is detailed for

a period of six months or less may receive an allowance

no more than half of the annual authorized amount.

6. APPROVED VENDORS. Central Office administrators having

responsibility for program areas for which a uniform is

authorized are responsible for selecting a vendor or vendors to

provide uniform clothing items which meet established

specifications. Program administrators are also responsible for

providing employees with specifications for authorized uniform

items and information (such as brochures, order forms and price

lists) from approved vendors so that employees can obtain their

items of uniform clothing.

7. PROTECTIVE CLOTHING. Protective clothing shall be issued and

controlled in accordance with Chapter 47, Property Management

Manual.

8. SHOES. Plain toe shoes worn with uniforms must be as

prescribed in this section and will not be provided or issued by

the government. Safety toe shoes shall be provided at government

expense in accordance with Chapter 47 of the Property Management

Manual.

9. AUTHORIZED UNIFORMS. Unless otherwise indicated in this

section or by the Regional Director, all employees performing

duties in the services described below are required to wear the

approved uniform while performing official duties. With

exception of the optional sweater and wind breaker, uniform

clothing shall not be worn off duty, other than between work and

residence. Department heads are not authorized to wear a

uniform. Authorized uniforms are to be on the Authorized Staff

Uniform chart (Attachment 9-2). To the extent that it does not

conflict with the principles and policy of this section, the

wearing of uniforms may be further addressed in other Bureau

policy manuals for particular disciplines. Monogramming shall be

in accordance with paragraph 11 of this policy.

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a. Dress Uniform. The dress uniform is authorized for Inmate

Systems Management employees, Correctional Counselors, and

Correctional Services employees (including Special Investigative

Agents at the joint discretion of the Warden and Regional

Director). Correctional Security Officers or other Correctional

Services employees who normally wear the work uniform may be

required to wear the dress uniform while performing certain

services. Wardens may exempt administrative staff in Inmate

Systems Management and Correctional Services (e.g. Data

Coordinator, Administrative Clerk, Secretary, or Receptionist)

from wearing the dress uniform. The uniform consists of a navy

blue monogrammed blazer; gray trousers, slacks or skirt; white

monogrammed shirt; black socks/neutral hose; black, low-cut,

oxford-style shoes (except soft leather); black belt; and maroon

necktie (males or females) or cross tie (females only).

b. Work Uniform. The work uniform is authorized for

Facilities and UNICOR Foremen (including General Foremen and

Project Foremen), Warehouse Workers (including Commissary,

Laundry/Clothing Room and UNICOR), Farm employees, V.T.

Instructors and Security Officers or other Correctional Services

employees on specifically assigned posts. Wardens may exempt

General Foremen, Project Foremen and V.T. Instructors from this

requirement. The work uniform consists of a nickel gray shirt

and trousers/slacks; nickel gray jacket; black socks; black, low-

cut, oxford-style shoes; and black belt. Female staff may wear a

nickel gray skirt at their discretion. Prescribed work boots may

be authorized in lieu of the oxford-style shoes on assignments

which expose the employee to conditions where a heavy duty shoe

is desirable. Examples of such conditions would be dirty, muddy,

or slippery conditions or where extra ankle support is needed for

climbing, walking or standing.

c. Food Service. The food service uniform consists of navy

blue trousers/slacks; white or light blue shirt/blouse; black

socks/neutral hose; black, low-cut, oxford-style shoes; black

belt; maroon necktie/cross tie; and navy blue monogrammed

baseball cap.

d. Recreation. The recreation uniform consists of navy blue

trousers/slacks; navy blue monogrammed walking shorts; light blue

monogrammed short-sleeved pullover knit shirt; white or navy blue

mid-calf sport socks; black high or low-cut coaching shoes; and

navy blue monogrammed baseball cap.

e. Nurse. The nurse uniform is a white dress/pantsuit or

trousers and shirt typically worn by nurses and consistent with

standards for the profession; white socks; and white shoes.

White or neutral hose are optional.

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f. Staff Training Academy Instructor. The instructor uniform

(dress uniform) is the same as the uniform described in paragraph

a. above except that the shirt shall not be monogrammed. The

Instructor Self-Defense Uniform consists of a maroon pull-over

polo shirt; navy blue slacks or shorts; white athletic shoes;

white athletic socks or white with blue and gold stripe; and

optional navy blue sweat shirt with Bureau emblem.

g. Optional Items - All Uniforms. Where appropriate for

health and comfort reasons, and in conformance with local policy

and procedures, any uniformed employee may wear a navy blue long-

sleeved monogrammed V-neck sweater or navy blue monogrammed wind

breaker with the uniform. Monogramming shall be in accordance

with paragraph 11 of this section.

11. MANDATORY SOURCES AND SPECIFICATIONS

a. The following authorized uniform clothing items identified

in paragraph 10 above must be purchased from an authorized vendor

approved by Central Office (Note: items purchased from employee

organizations may be considered approved only if they fully meet

the specifications of this policy):

(1) The dress uniform blazer, trousers, slacks, skirt, and

shirt.

(2) The recreation uniform shirt, slacks, and shorts.

(3) The baseball cap worn with the recreation and food

service uniform.

(4) The sweater and wind breaker for optional use with all

uniforms.

b. All other authorized uniform clothing items may be

purchased from an authorized vendor or from the local market. To

assure consistency in the appearance of required uniforms,

clothing items not listed in the above paragraph must meet the

following specifications:

(1) Food service uniform shirt/blouse - Long or short-

sleeve; permanent press, polyester/cotton; light blue

or white; traditional, plain dress shirt or blouse; no

patterns, fancy stitching, or button down collars.

(2) Nurse uniforms - traditional white dress/pantsuit or

trousers/slacks and shirt/blouse; consistent with

uniforms accepted and normally worn in

hospitals/clinics in the local community.

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(3) Nurse shoes - white; heel no higher than 1 1/2 inches;

of the type normally worn by nurses in local

hospitals/clinics.

(4) Work shirt - nickel gray; long or short-sleeve;

permanent press, polyester/cotton; no patterns, fancy

stitching, or button down collars; traditional plain

work shirt.

(5) Work pants - nickel gray; permanent press,

polyester/cotton; no cuffs; full cut; straight legs;

minimum 1 1/2 inch belt loops.

(6) Work jacket - nickel gray; permanent press,

polyester/cotton; with or without liner.

(7) Necktie - maroon; ready-knotted; clip-on; woven fabric;

no wider than four inches; solid color; no pattern.

Bow ties are not acceptable.

(8) Cross tie - maroon; woven fabric; solid color; no

pattern; button at the front of the neck with breakaway

velcro closure in back.

(9) Dress socks - plain black; no pattern or fad styles.

(10) Dress shoes - plain black; hard soled; no patent or

soft leather; low-cut; oxford-style; lace up.

(11) Belt - black leather; plain, solid; waist type with

tongue buckle; no less than one inch wide; non-

ornamental. Belt buckles displaying BOP logo and name

of institution may be worn if they do not detract from

the uniform's professional look.

12. EMBLEMS, ILLUSTRATIONS AND LETTERING. Bureau of Prisons

emblems or lettering shall not be sewn, embroidered, or printed

on any item of clothing unless it is herein approved for that

clothing item or specifically approved by the Director. Unless

expressly authorized by the Director, protective clothing or

uniform items shall not display slogans, printing, or lettering

other than that identifying the Bureau of Prisons and/or the

official name of the institution. Any protective clothing or

uniform item which includes the Bureau of Prisons emblem or

lettering must be purchased from an approved vendor.

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Personal clothing items which may be authorized to be worn with

the uniform may not display any emblem, slogan, printing, or

lettering.

13. NAME TAGS AND OTHER ADORNMENTS. Name tags, approved by the

Director, will be provided by the institution to all employees.

Supervisors, managers and uniformed employees are required to

wear the provided name tag while in official duty status. All

other employees will be encouraged to do so.

In the interest of professionalism, uniformed employees shall not

wear jewelry which detracts from the overall professional

appearance of the uniform while on duty. As a matter of

professionalism, personal safety, or institution security, the

Warden may prohibit specific items of jewelry or other adornment

altogether.

Adornments denoting any agency or organization other than the

Bureau of Prisons, or any cause or belief, shall not be worn on

or with the uniform unless specifically authorized by the

Director or in accordance with the Master Agreement.

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Attachment 2-1, Page 1

DELEGATION OF INITIAL SELECTION AND CLASSIFICATION AUTHORITIES

Note: This table summarizes delegation of selection and

classification authorities. The officials indicated as

having the authority to take the action may be required

to consult with other officials prior to taking final

action. Refer to Section 250.1 for complete delegation

authority.

*SES positions Dir PPM*

GS-13 and above (except Medical and Dental Officer, and

Attorney positions)

D PPM

Medical and Dental Officer positions CEO HRM

Attorneys, Law Clerks and Law Students OGC

-OR-

OAPM

Ex-felon D N/A

GS-12 and below, FWS, and Medical and Dental Officer

positions located in Central Office

AD COPOH

Central Office controlled trainees AD PPM

GS-11 and below at Staff Training Centers Dir/

STC

HRM

GS-12 at Staff Training Centers SDAD HRM

UNICOR field positions - GS-12 and below Factory

Manager, Assistant Factory Manager, General Foreman (or

Lead Foreman supervising staff), Industrial Manager,

Industrial Specialist, Business Manager, Assistant

Business Manager, Plant Controller, Computer Specialist,

and Quality Assurance Manager

AD/

I,E,

& VT

PPM

UNICOR GS positions below assistant department head

level

CEO HRM

GS-12 and below located in Regional Offices, Institution

department head and assistant department head at and

below GS-12

GS-13 Staff Psychologist at Institutions

RD HRA

PPM

Below assistant department head unless otherwise

specified

CEO HRM

Institution FWS positions, including UNICOR (except

General Foreman or Lead Foreman supervising staff)

CEO HRA

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Attachment 2-1, Page 2

LEGEND:

DOJ Department of Justice

D Director, Federal Bureau of Prisons

AD Assistant Director

AD/I,E, & VT Assistant Director, Industries, Education,

and Vocational Training

RD Regional Director

Dir/STC Director, Staff Training Center

SDAD Senior Deputy Assistant Director

CEO Institution Chief Executive Officer

COPO HRM Central Office Human Resource Manager

HRA Regional Human Resource Administrator

HRM Institution or servicing Human Resource

Manager

OGC Office of General Counsel

OAPM Office of Attorney Personnel Management

PPM Pay and Position Management Section

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Attachment 2-2

FILING AND DISPOSITION OF FORMS AND DOCUMENTS USED EXCLUSIVELY BY

THE BUREAU OF PRISONS

Following are forms and documents commonly used in the Bureau of

Prisons and instructions for their filing and disposition. This

list is not all-inclusive. Follow the instructions in the

appropriate Program Statement or the form itself for forms and

documents not listed in this attachment.

Form/Document Filing/Retention

Receipts for BOP Program Left side OPF; retain until

Statements superseded or employee leaves

BOP

Statement of Proposed Travel Left side OPF; purge one year

in connection with relocation after effective date of move

Outside employment approval Left side OPF; purge when no

longer applicable or when

employee leaves BOP

Appointment to collateral Left side OPF; purge when no

duties longer applicable or when

employee leaves BOP

Uniform clothing allowance Left side OPF; purge after

authorization one year

Employee's notice of contact Left side OPF; purge when

with an inmate or ex-inmate employee leaves BOP

Off duty conduct reports Reports leading to

disciplinary action are

filed in the

disciplinary action file;

those not leading to disciplinary

action are filed separately,

not in the OPF

Agreement to attend Glynco and Forward to EDM for filing in

student evaluation probationary training file

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Attachment 2-3

DEPARTMENT OF JUSTICE

DOCUMENT REMOVAL CERTIFICATION

PART A: To be completed by employees leaving the Department of Justice: I

certify that the documents that I am removing from the Department of Justice

have been reviewed and that they do not include any documents the removal of

which is prohibited by applicable Department of Justice orders.

_____________________________ _____________________________

Employee's Name (Typed or Printed) Employee's Signature

_____________________________ _____________________________

Organization Date

*****************************************************************

PART B: To be completed by employees relocating within the Bureau of Prisons,

or transferring to another organization within the Department of Justice: I

certify that I am removing no documents, program statements, correspondence or

other record material upon my relocation to a new duty station. Documents

being removed, if any, are itemized below.

_____________________________ _____________________________

Employee's Name (Typed or Printed) Employee's Signature

_____________________________ _____________________________

Organization Date

***************************************************************

File: If the employee is relocating within the BOP, file this form on the left

side of the OPF and retain for six months.

If the employee is separating from the Department of Justice,

forward this form to Central Office, Office of Archives.

Questions related to removal of documents may be referred to the

Office of Archives, Central Office.

(This form may be locally reproduced BP-S135(30)

or replicated via wordprocessing) Sept, 1993

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Attachment 3-1, Page 1

U.S. Department of Justice

Federal Bureau of Prisons

VOLUNTEER SERVICE AGREEMENT

between

____________________________ and ____________________________

Educational Institution Bureau of Prisons Facility

This agreement forms a basis of mutual understanding between the above

parties in matters relating to voluntary services of students enrolled

at the above educational institution and assigned to the Federal

Bureau of Prisons.

PURPOSE OF THIS AGREEMENT

The anticipated result of this agreement is that each party will

assist the other in the accomplishment of program objectives. For the

educational institution, it is recognized that such objectives are

educational in nature.

While the Federal Bureau of Prisons is also concerned with the

enrichment of curricula and student learning, the primary program

objective is to bring about a stronger relationship between the

efforts of educators and the occupational needs of the Federal Bureau

of Prisons and students.

AGENCY RESPONSIBILITIES

The Federal Bureau of Prisons (agency) agrees to:

1. Designate a staff member to act as liaison with the

educational institution,

2. Assure that work performed by the student is educationally

related,

3. Notify the student of the probable duration of the work

assignment,

4. Provide opportunities for students to become involved in

early career exploration as a basis for making realistic

decisions regarding their future careers,

(This form may be locally reproduced BP-S140(30)

or replicated via wordprocessing) Sep 1993

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5. Provide exposure to the work environment as a means of

encouraging students to develop work ethics and to acquaint

them with various Federal missions,

6. Support affirmative action programs to assure that ethnic

and racial minorities, women and the handicapped are

informed of occupations available within the Federal Bureau

of Prisons.

RESPONSIBILITIES OF THE EDUCATIONAL INSTITUTION

The educational institution agrees to:

1. Designate a representative to work with the agency liaison

officer,

2. Inform all likely student candidates of the volunteer

service opportunity,

3. Refer all interested and qualified candidates to the agency

without discrimination,

4. Furnish the agency with requested information about the

student's field of study and academic standing,

5. Inform the agency of any change in a student's status,

including termination of study, change from full-time to

part-time enrollment, shifts to other major areas of study

and failure to maintain required standards of the

educational institution or the Federal Bureau of Prisons.

RESPONSIBILITIES OF THE STUDENT

The student agrees to:

1. Be enrolled in a curriculum on a substantially full-time or

part-time basis and be pursuing a major field of study

closely related to the work assignment,

2. Follow the Federal Bureau of Prisons Standards of Employee

Conduct and Responsibility,

3. Adhere to a work schedule mutually agreed upon by the agency

and the student,

4. Maintain a grade point average of at least 2.0 on a scale of

4.0 or the equivalent, a grade C or above in all major

fields of study at all times and a record that is in all

ways predictive of graduation,

(This form may be locally reproduced BP-S140(30)

or replicated via wordprocessing) Sep 1993

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5. Be fully aware that he/she is an uncompensated volunteer and

is not a Federal employee for any purposes other than injury

compensation and laws related to the Tort Claims Act.

SPECIFIC PROVISIONS

1. The student's work assignment will be:

2. The duration of the assignment will be:

3. The student's work schedule will be:

For the Agency: ______________________________________

Signature and date

For the Educational

Institution: ______________________________________

Signature and date

Student: ______________________________________

Signature and date

(This form may be locally reproduced BP-S140(30)

or replicated via wordprocessing) Sep 1993

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Attachment 3-2, Page 1

PANEL INTERVIEW WRITING SAMPLE (WITH VIDEO)

Applicant's Name: ___________________________ Date: _________

Position Applying For: _________________________________________

INSTRUCTIONS TO APPLICANT: Bureau of Prisons employees are

frequently required to write reports, make entries in logs, and

respond to correspondence. To help us evaluate your writing skills,

please complete the following writing exercise.

You will be presented with two videotaped correctional work

scenarios. View the first scenario as practice only; do not write

about the first scenario. For the second scenario, imagine that you

witnessed this situation at the institution. As a witness, you

would be required to write a report describing the situation for

institution staff who were not present. For this exercise, write a

report for your supervisor discussing the videotaped scenario.

In preparing your report, remember that the report will be conveying

critical information to your supervisor who was not present during

the incident. In order to be as thorough as possible, you may take

notes while viewing the video.

After viewing the video, you will be given 15 minutes to complete

this exercise. Please limit your report to the space provided below

and on the continuation sheet.

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Attachment 3-2, Page 2

PANEL INTERVIEW WRITING SAMPLE (continued)

Applicant's Name:

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Attachment 3-3, Page 1

INSTRUCTIONS FOR ADMINISTERING THE PANEL INTERVIEW

The following instructions explain how to administer the panel

interview and rate applicant acceptability. Read these instructions

each time you conduct a panel interview.

Also, review the "Panel Interview Individual Rating Form" before

conducting the panel interview. The rating form identifies the

characteristics (KSAOs) that are being assessed. Keep all KSAOs in

mind when considering the applicant's responses.

PRESENTATION OF QUESTIONS AND DOCUMENTATION OF RESPONSES

Using the "Panel Interview Individual Rating Form:" To begin, fill

out the applicant's name, the position for which s(he) is applying,

and the date on the first page of the "Panel Interview Individual

Rating Form." Use this form to record any notes taken during the

interview.

Beginning the Panel Interview: Before the interview begins, review

all available applicant information such as the suitability interview

results and application form. To begin the interview, panel members

will introduce themselves to the applicant. Ask general questions

designed to put the applicant at ease. For example, the panel may ask

questions such as "Why do you want to work in corrections?" or open-

ended questions regarding education and work history. Panel members

may document questions or responses for this portion of the interview

on the "Panel Interview Individual Rating Form," if they are important

to your acceptability determination.

At this time, ask follow-up questions you may have pertaining to the

information provided in the suitability interview results, application

form, etc. You may ask questions pertaining to any job-related work

history or background information that you feel needs to be addressed.

Remember to keep in mind the general interviewing guidelines when

asking these questions, and make sure that all questions asked are

job-related.

Presenting Job-Specific Questions: The purpose of these questions is

to assess job-specific knowledges, skills, and abilities, as opposed

to those related to correctional work in general. The department head

panel member will be primarily responsible for asking these questions.

When asking the job-specific questions, the panel shall ask similar

job-related and non-discriminatory questions of all applicants for the

specific vacancy.

For correctional officer applicants, the correctional work situation

questions also function as job-specific questions. Therefore,

additional job-specific questions (aside from any follow-ups to

information provided in the application materials) are not necessary.

However, panel members may ask as many job-

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related questions as needed to allow them to make a good judgment

regarding the acceptability of the applicant.

Present the following instructions to the non-correctional officer

applicant before asking the job-specific questions:

"This portion of the panel interview is designed to assess

specific knowledges, skills, and abilities required for the

position for which you are applying. Please answer each

question as completely as possible. You may ask that the

questions be repeated, if necessary. Do you have any

questions before we begin?"

Panel members should note both the applicant's strengths and

weaknesses based on his/her responses to the job-specific questions in

the "Job-specific KSAOs" section of the "Panel Interview Individual

Rating Form." All panel members will use this information in

determining the job-specific acceptability of applicants. However,

panel members who lack sufficient knowledge of the position being

filled to make an acceptability determination, shall rate the

applicant N/R.

Presenting Correctional Work Situation Questions: At this time, take

the opportunity to provide the applicant with a realistic job

description related to working in a correctional setting. Panel

members shall describe general work aspects of which the applicant

should be aware, including issues related to working with inmates

ranging from daily stresses to more disturbing interactions. Once the

panel feels that they have adequately discussed the realities of

working in a correctional setting, they shall present the situation

questions.

Present the following instructions to the applicant before asking the

applicant the situation questions:

"This portion of the panel interview is designed to assess

your ability to respond to situations that could occur in a

corrections setting. We realize that you are not aware of

Bureau policy and ask that you respond to the questions

based on what you think you would do if placed in the

situation. For each situation you will be asked to explain

your response. Please attempt to do so as completely as

possible. The explanation of your response, more than the

response itself, will indicate the degree to which your

answers demonstrate job-related abilities. Please be aware

that we may be taking notes as you respond. We will present

each question to you, and you may ask for the question to be

repeated if necessary. Do you have any questions regarding

the procedure before we begin?"

Alternate the presentation of situation questions among the panel

members so that each panel member has the opportunity to ask

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approximately the same number of questions of the applicant.

Present all situations to the applicant in the order in which they are

provided on the "Correctional Work Situation Questions" form. Ask the

situation questions that are on the list. However, panel members may

ask additional job-related scenario questions if they are necessary to

allow them to make a good judgment regarding the acceptability of the

applicant for work in a correctional setting. When asking additional

scenario questions, make sure they are job-related and non-

discriminatory.

When presenting the situation questions to the applicant, interviewers

may paraphrase the written questions if they feel it would be easier

for the applicant to understand. If the applicant hesitates or

misunderstands a question, prompting or clarification by the panel may

be necessary.

Some situations contain two parts: one part requesting a response

without knowledge of Bureau policy, and one requesting a response

after Bureau policy has been provided. Allow the applicant to respond

to the first part of the question before asking the second part of the

question. Present all situations before attempting to rate the

applicant's abilities.

Ending the Panel Interview: Panel members should ask any follow-up

questions which they feel are necessary to make an adequate

determination of the applicant's acceptability. Keep in mind the

general interviewing guidelines when asking these questions.

Panel members should explore any possible behaviors which would not be

appropriate for correctional workers, such as anger, violent behavior,

and potential susceptibility to corruption. Therefore, they should

ask any job-related questions that they feel are necessary to address

behavioral issues. For example, if a panel member senses that the

applicant is prone to anger easily, s(he) may ask questions pertaining

to how the applicant has dealt with anger in past work situations.

However, no questions shall be asked regarding medical history or

mental health history.

The applicant shall then be informed of and given the opportunity to

ask questions of the panel members, to discuss anything not previously

addressed in the interview, or to provide any information the

applicant feels if pertinent. Once you have completed the panel

interview, dismiss the applicant before completing the rating forms

described below.

ASSESSING WRITING SAMPLE

After the applicant has been dismissed, the panel will receive a copy

of the applicant's writing sample from HRM staff. Each panel member

must read the writing sample before rating the applicant on

correctional work KSAOs (described below). Note any

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comments concerning the writing sample in the "KSAO #10" section on

the "Panel Interview Individual Rating Form." Refer to these comments

when rating the applicant's writing skills.

RATING OF KSAO'S BY INDIVIDUAL PANEL MEMBERS

On the first page of the "Panel Interview Individual Rating Form,"

make sure you have filled out the applicant's name, the position for

which application is made, and the date. After the applicant has

responded to all of the situations, use this rating form to rate the

applicant's relevant abilities.

The first rating assesses the applicant's acceptability on job-

specific KSAOs. The four point rating scale ranges from

"Unacceptable" to "Excellent," with an option for "Not Rated," if the

panel member lacks sufficient knowledge of the position to make an

acceptability determination.

Next, each correctional work KSAO is presented. A 3-point rating

scale ranging from "Unacceptable" to "Excellent" follows each

correctional work KSAO. To use this scale, circle the one response

that best represents the extent to which the applicant shows evidence

of the specified characteristic. If a rating of "Unacceptable" is

given for any KSAO, be sure to explain the reasons for the rating in

the space provided.

When choosing your rating, do not consider whether the applicant's

responses were right or wrong based on what would actually be expected

on the job. The KSAOs will be used to rate the applicant's

demonstration of the general abilities that would be needed in the

situation. Job-related training will provide the specific instruction

the applicant needs to apply those abilities appropriately.

At the bottom of the form, provide your name, signature and position

title.

DOCUMENTING PANEL'S ACCEPTABILITY DETERMINATION

After panel members have separately rated all KSAOs, the Human

Resource representative on the panel shall complete the "Panel

Interview Assessment Form" based on input from the other panel

members. To begin, fill out the name of the applicant, the position

for which application is being made, and the date.

Record each panel member's rating for each KSAO in the rater columns

on the form. Record an overall assessment for each KSAO in the last

column. A majority of the panel members must agree that the applicant

is either unacceptable or acceptable for each KSAO. In other words,

at least three ratings must be "Excellent" or "Acceptable" for the

overall rating on a KSAO to be "Acceptable;" likewise, at least three

ratings must be "Unacceptable" for the overall rating on a KSAO to be

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"Unacceptable." If the panel cannot reach a majority decision through

initial discussion, the applicant may be called back for follow-up

questions. (For the job-specific KSAOs, majority agreement must be

reached among all panel members with enough knowledge of the position

to rate the applicant.)

At the bottom of the form, the name and signature of the person

completing the form must be provided, along with the corresponding

rater names and position titles.

If the applicant is acceptable on the job-specific KSAOs (non-

correctional officer applicants only) and all correctional worker

KSAOs, then the applicant is acceptable and can be considered for

employment depending upon the suitability determination. One rating

of "Unacceptable" in the overall assessment column of the "Panel

Interview Assessment Form" is enough to indicate the applicant is

unacceptable for employment.

After the interview is completed, the HRM staff responsible for

coordinating the panel interview, shall be given the copies of the

instructions, the writing sample, the "Correctional Work Situation

Questions," and the rating forms (both individual and assessment).

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Attachment 3-4, Page 1

PANEL INTERVIEW INDIVIDUAL RATING FORM -- Set #1

Applicant's Name: _________________________ Date: ___________

Position Applying For: _________________________________________

Each panel member will complete this form for each applicant based on

the applicant's responses during the panel interview. Record job-

specific and correctional work KSAO ratings in the "RATING" column.

Indicate any comments to support your ratings in the "COMMENTS"

column, including the source (i.e., application form, suitability

interview, situation responses, ...). Continue comments on the back

of the page if more space is needed.

U= Unacceptable A= Acceptable E= Excellent N/R= Not Rated

KSAO RATING COMMENTS

JOB-SPECIFIC KSAOs

(Only for non-correctional

officer applicants)

U A E N/R

CORRECTIONAL WORK KSAOs:

1. Ability to work independently with

a minimum of supervision

SITUATION QUESTIONS: 1 & 12

U A E

2. Ability to pay attention to detail

SITUATION QUESTIONS: 5 & 6 U A E

3. Ability to use time and resources

effectively to meet deadlines

SITUATION QUESTIONS: 2 & 7

U A E

4. Ability to reason soundly and think

out practical solutions to problems

SITUATION QUESTIONS: 2 & 8

U A E

5. Ability to act quickly and

decisively under pressure while

adhering to emergency instructions

SITUATION QUESTIONS: 3 & 9

U A E

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U= Unacceptable A= Acceptable E= Excellent N/R= Not Rated

KSAO RATING COMMENTS

6. Ability to function effectively and

make decisions independently and

objectively under trying

circumstances

SITUATION QUESTIONS: 3 & 10

U A E

U= Unacceptable A= Acceptable E= Excellent N/R= Not Rated

KSAO RATING COMMENTS

7. Ability to enforce rules and

regulations and make decisions in a

fair and impartial manner

SITUATION QUESTIONS: 3 & 10

U A E

8. Ability to effectively communicate

with others in a tactful and

diplomatic manner

SITUATION QUESTIONS: 2, 4, 7, & 11

U A E

9. Ability to establish and maintain

good working relationships with

individuals of differing

backgrounds, races, ages,

religions, sexes, cultures, and

behavioral patterns

SITUATION QUESTIONS: 4 & 11

U A E

10. Ability to effectively utilize data

in writing concise, clear and

understandable reports

SEE WRITING SAMPLE

U A E

Rater Name:___________________________________________________

Signature:____________________________________________________

Position Title:_______________________________________________

(Set #1)

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Attachment 3-4, Page 1

PANEL INTERVIEW INDIVIDUAL RATING FORM -- Set #2