U.S. Department of Justice
Federal Bureau of Prisons

Change
Notice
1. PURPOSE AND SCOPE.
and Costs.

DIRECTIVE AFFECTED: 5882.03
CHANGE NOTICE NUMBER: 5882.03
DATE: 2/4/98

To update the Program Statement pertaining to Fines

2. SUMMARY OF CHANGES. This Program Statement provides revised procedures
for processing fines and costs for inmates convicted of offenses committed
before November 1, 1987. Additionally, Rules language and policy text have
been updated in accord with statutory changes regarding the role of the
U.S. Magistrate Judge and U.S. Attorney in processing committed fines and
costs.
3. ACTION. File this Change Notice in front of Program Statement 5882.03,
Fines and Costs for “Old Law” Inmates.

/s/
Kathleen M. Hawk
Director

U.S. Department of Justice
Federal Bureau of Prisons

Program
Statement

OPI:
NUMBER:
DATE:
SUBJECT:

CPD
5882.03
2/4/98
Fines and Costs
for “Old Law”
Inmates

Rules Effective Date: 1/28/98

1. [PURPOSE AND SCOPE §571.50. This subpart establishes procedures for
processing a fine, or fine and costs ordered by the court with respect to
an inmate convicted of an offense committed before November 1, 1987. When
the court orders a prisoner's confinement until payment of a fine, or fine
and costs under 18 U.S.C. § 3565, the Bureau of Prisons shall confine that
inmate until the fine, or fine and costs are paid, unless the inmate
qualifies for release under 18 U.S.C. § 3569.
a. An inmate held on the sole basis of his/her inability to pay such
fine, or fine and costs, and whose non-exempt property does not exceed $20
may request discharge from imprisonment on the basis of indigency (see 18
U.S.C. § 3569).
b. Under 18 U.S.C. § 3569, the determination of indigency may be made by
a U.S. Magistrate Judge. Where the U.S. Magistrate Judge makes a finding
of non-indigency based on the inmate's application for a determination of
his ability to pay the committed fine, or fine and costs, staff shall refer
the application to the appropriate United States Attorney for the purpose
of making a final decision on the inmate's discharge under 18 U.S.C. §
3569. It is to be noted that 18 U.S.C. § 3569 provides for confining an
inmate for nonpayment of a committed fine, or fine and costs.]
2.

PROGRAM OBJECTIVES.

The expected results of this program are:

[Bracketed Bold - Rules]
Regular Type - Implementing Information

PS 5882.03
2/4/98
Page 2
a. Fines and costs will be processed in accordance with 18 U.S.C. § 3565
and 3569.
b. Inmates with committed fines may make application for a determination
of indigency under 18 U.S.C. § 3569.
3. DIRECTIVES AFFECTED
a. Directives Rescinded
PS 5882.02
b.

Fines and Costs (10/20/83)

Directives Referenced.

None.

c. Rules cited in this Program Statement are contained in 28 CFR
571.50-55.
4. STANDARDS REFERENCED
a. American Correctional Association 3rd Edition Standards for
Adult Correctional Institutions: None
b. American Correctional Association 3rd Edition Standards for
Adult Local Detention Facilities: None
c. American Correctional Association 2nd Edition Standards for
Administration of Correctional Agencies: None
d. American Correctional Association Standards for Adult Correctional
Boot Camp Programs: None.
5. MCC/MDC/DETENTION FACILITIES. This policy applies to inmates in
holdover status and those inmates in pre-trial status who are so classified
based upon non-payment of a committed fine, or fines and costs.
6.

[DEFINITIONS

§571.51

a. Fine. A monetary penalty associated with an offense imposed as part
of a judgment and commitment. There are two types of fines.
(1) Committed Fine. A monetary penalty imposed with a condition of
imprisonment until the fine is paid.
(2) Non-committed Fine.
confinement imposed.]

A monetary penalty which has no condition of

PS 5882.03
2/4/98
Page 3
The U.S. Code does not refer specifically to either committed or
non-committed fines. These terms have evolved to distinguish between the
two types of fines.
[b.
levy.
fine.

Costs. Monetary costs of the legal proceeding which the court may
Imposition of costs is similar in legal effect to imposition of a
The court may also impose costs with a condition of imprisonment.]

7. COMMITTED FINE, OR FINE AND COSTS - OVERVIEW. Title 18, U.S.
Code, Sections 3565 and 3569 are the controlling statutes. Section 3565
states in part:
“If the court finds by a preponderance of the information relied upon
in imposing sentence that the defendant has the present ability to pay
a fine, or penalty, the judgment may direct imprisonment until the
fine, or penalty is paid, and the issue of execution on the judgment
shall not discharge the defendant from imprisonment until the amount
of the judgment is paid.”
This means that the inmate must remain confined until the fine, or fine and
costs is paid unless he or she qualifies for release under the provisions
of 18 U.S.C. § 3569. The judgment and commitment (J&C) order must contain
language which clearly indicates that the inmate is to stand committed
until the fine, or fine and costs, is paid or otherwise disposed of
according to law.
Under 18 U.S.C. § 3569:
“. . . such convict may make application in writing to the nearest
United States magistrate in the district where he is imprisoned
setting forth his inability to pay such fine, or fine and costs, and
after notice to the district attorney of the United States, who may
appear, offer evidence, and be heard, the magistrate shall proceed to
hear and determine the matter." If it shall appear to the magistrate
that "such convict is unable to pay such fine, or fine and costs, and
that he has not any property exceeding $20 in value, except such as is
by law exempt from being taken on execution for debt (emphasis added),
the magistrate shall administer to him the following oath:
‘I do solemnly swear that I have not any property, real or
personal, exceeding $20, except such as is by law exempt from
being taken on civil process for debt; and

PS 5882.03
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Page 4
that I have no property in any way conveyed or concealed, or in
any way disposed of, for my future use or benefit. So help me
God.’
Upon taking such oath such convict shall be discharged; and the
magistrate shall file with the institution in which the convict is
confined, a certificate setting forth the facts.”
The "oath" referred to above is commonly known as the "Pauper's Oath." The
oath is administered to the inmate when a finding of indigency is made. A
listing of benefits and payments exempt by federal statute is noted in the
Payments Exempt by Federal Statute Without Regard to the State of the
Debtor's Residence form (Attachment A). This list is not inclusive and
reference should be made to the Internal Revenue Code of 1986 (26 U.S.C. §
6334).
If an inmate applies to the U.S. Magistrate Judge for an indigency
determination and the U.S. Magistrate Judge makes a finding of
non-indigency, staff shall refer the issue for final disposition, under 18
U.S.C. § 3569, to the appropriate U.S. Attorney (the U.S. Attorney for the
district in which the inmate is incarcerated).
When the U.S. Magistrate Judge finds the inmate to possess property valued
at an amount in excess of said exemption, the Attorney General, whose
authority is delegated to the U.S. Attorney under 28 CFR § 0.171(g), may
find that the retention of all such property is reasonably necessary for
the inmate's support or that of his or her family and the inmate may be
released without further imprisonment solely on the basis of nonpayment of
such fine, or fine and costs; or the Attorney General may find that the
retention of any part of such property is reasonably necessary for the
inmate's support or that of his or her family, the inmate shall be released
without further imprisonment solely for nonpayment of such fine, or fine
and costs, upon a payment on the account of the fine, or fine and costs, of
that portion of the property found to be in excess of that amount
reasonably necessary for the inmate's support or that of his or her family.
8.

[PROCEDURES - COMMITTED FINES

§571.52

a. (1) Promptly after the inmate's commitment, staff shall inform the
inmate that there is a committed fine, or fine and
costs on file, as part of the sentence. Staff shall then impound the
inmate's trust fund account until the fine, or fine and costs is paid
except (i) The inmate may spend money from his/her trust fund account for
the purchase of commissary items not exceeding the maximum monthly
allowance authorized for such purchases.

PS 5882.03
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Page 5
(ii) Staff may authorize the inmate to make withdrawals from his/her
trust fund account for emergency family, emergency personal needs or
furlough purposes.
(2) This rule of impounding an inmate's trust fund account applies
only when the inmate is confined in a federal institution. It does not
apply to a federal inmate confined in a state institution or a contract
community-based facility.]
When an inmate with a committed fine, or fine and costs arrives at the
institution, the Inmate Systems Manager (ISM) shall notify the Commissary
Supervisor, using the Notice to Commissary Supervisor of Committed Fine
form (BP-S397) so that the inmate's trust fund account can be impounded.
The Unit Manager and Case Manager are given the authority to authorize
withdrawals from the inmate's account for emergency or furlough purposes.
[b. If the inmate pays the committed fine, or fine and costs, or staff
have verified payment, staff shall document payment in the appropriate file
and release the inmate's trust fund account from impoundment.]
If the inmate pays the fine, or fine and costs, or claims that the fine,
or fine and costs, have been paid, ISM staff shall obtain a copy of the
receipt or similar document from the clerk of the court which imposed the
fine or fine and costs. The
receipt or similar document shall then become a part of the inmate's J&C
file. Copies may be forwarded to the inmate's Central File. No further
action need be taken after payment of a fine, or fine and costs and the
trust fund account, if impounded, shall be released.
[c. Staff shall interview the inmate with an unpaid committed fine at
least 75 days prior to the inmate's release date. Staff shall explain to
the inmate that to secure release without paying the committed fine, or
fine and costs in full, the inmate must make an application, on the
appropriate form, to the U.S. Magistrate Judge for determination as to
whether the inmate can be declared indigent under 18 U.S.C. § 3569.]
It should be noted that 18 U.S.C. § 3565(h) stipulates:
"The obligation to pay a fine or penalty ceases upon the death of the
defendant or the expiration of twenty years after the date of the
entry of the judgment, whichever occurs earlier. The defendant and
the Attorney General may agree in writing to extend such twenty-year
period."
9. [DETERMINATION OF INDIGENCY BY U.S. MAGISTRATE - INMATES IN FEDERAL
INSTITUTIONS §571.53

PS 5882.03
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Page 6
a. An inmate with a committed fine, or fine and costs who is imprisoned
in a federal institution may make application for a determination of
indigency directly to the U.S. Magistrate Judge in the district where the
inmate is imprisoned under 18 U.S.C.
§ 3569.]
The ISM or designee is responsible for interviewing the inmate.
inmate makes application for determination of indigency by:

The

#

completing the Committed Fine Application, Oath, and Order form
(BP-S401), and

#

attaching the BP-S401 to the completed Financial Statement of
Debtor form (OBD-500) (OBD-500 is the form provided by the
Department of Justice. If the Court
prefers a different
form, then that form
shall be used.)

If the inmate has problems completing the forms, or refuses to complete
either of the forms, then the Notice to U.S. Attorney of Committed Fine
form (BP-S395), shall be distributed at the time specified explaining the
reason either or both forms were not attached.
Copies of Form BP-S401
and/or Form OBD-500 shall be distributed if and when the inmate completes
the forms.
Not less than 60 days before the inmate's release date, using the
BP-S395, the ISM or designee shall notify:
#
#
#

the U.S. Attorney in the district where the fine, or fine and
costs was imposed,
the U.S. Attorney of the district in which the inmate is
confined, and
Unit staff.

If it is not possible to furnish notice 60 days in advance, then written
notice shall be sent as soon as ISM staff learn of the pending release
date. ISM staff shall notify both U.S. Attorneys by electronic
communication in addition to the written notice.
[b. After completion of the application, staff shall offer to forward
the completed forms and any other applicable information the inmate chooses
to the U.S. Magistrate Judge.]
ISM staff shall offer to forward the completed forms and any other
applicable information the inmate chooses to the U.S. Magistrate Judge.
The forms shall be mailed certified, return receipt requested. ISM staff
shall follow-up to assure that the U.S. Magistrate Judge receives the
inmate's application.

PS 5882.03
2/4/98
Page 7
[c. If the U.S. Magistrate Judge finds that the inmate is indigent, the
U.S. Magistrate Judge will administer the oath to the inmate. The inmate
shall be released no earlier than the regularly established release date.
d. If the U.S. Magistrate Judge finds that the inmate is not indigent,
Bureau staff shall forward a referral package to the appropriate United
States Attorney for a final determination as to the inmate's ability to pay
the committed fine, or fine and costs.]
ISM staff must keep both U.S. Attorneys advised of the inmate's
activities with the U.S. Magistrate Judge and shall, upon request, furnish
to the U.S. Attorneys or U.S. Magistrate Judge any information contained in
the inmate's file that may assist in arriving at a decision about the
inmate's financial status.
10. [DETERMINATION OF INDIGENCY BY U.S. MAGISTRATE JUDGE - INMATES IN
CONTRACT COMMUNITY-BASED FACILITIES OR STATE INSTITUTIONS §571.54.
a. Inmates with a committed fine, or fine and costs may be transferred
to contract community-based facilities, state institutions as boarders, or
state institutions for service of federal sentences running concurrently
with state sentences.]
If an inmate will have less than six months remaining until his or her
release date at the time of the expected transfer to a non-federal
facility, staff at the transferring institution are to ensure that the
processing instructions discussed in Attachment B are followed prior to the
inmate's transfer.
[b. Inmates with a committed fine, or fine and costs may be committed
directly to contract community-based facilities or state institutions as
boarders or may be designated to state institutions for service of federal
sentences running concurrently with state sentences.]
See Attachment C for processing instructions.

PS 5882.03
2/4/98
Page 8
[c. An inmate with a committed fine, or fine and costs who is imprisoned
in a contract community-based facility or state institution and desires to
make application for a determination of ability to pay the committed fine,
or fine and costs under 18 U.S.C. § 3569 may make application directly to
the U.S. Magistrate Judge.]
See Attachments B or C for processing instructions.
[d. Upon receipt of a finding by the U.S. Magistrate Judge that the
inmate is not indigent, Bureau staff shall forward a referral package to
the appropriate United States Attorney for a final determination as to the
inmate’s ability to pay the committed fine, or fine and costs.]
11. REVIEW BY U.S. ATTORNEY. Upon notification of a
non-indigency finding by the U.S. Magistrate Judge, Bureau staff shall
forward a referral package to the appropriate U.S. Attorney.
a. The ISM shall forward the referral package to the appropriate U.S.
Attorney immediately following the U.S. Magistrate Judge's finding. If the
inmate is not housed in a Federal institution, the following staff shall
forward the referral package:
#

The Community Corrections Manager (CCM) shall forward the
referral package for inmates transferred or committed directly to
contract community-based facilities and state institutions as
boarders,

#

The Regional Inmate Systems Administrator (RISA) shall forward
the referral package for inmates transferred or designated to
state institutions as the place to serve federal sentences
concurrently with state sentences)

The referral package shall contain:
#

a memorandum from the Warden (CCM or RISA) requesting
disposition by the U.S. Attorney,

#

any document issued by the U.S. Magistrate Judge,

#

copies of any other documentation in the inmate's file concerning
the inmate's financial status including the
inmate's
commissary account record, and

#

copies of the federal and/or state exemption rules or laws.

final

The ISM, CCM or RISA shall contact the U.S. Attorney five working days
prior to the inmate's scheduled release if no response has been received.
All contacts with the U.S. Attorney should be documented in the J&C file.

PS 5882.03
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Page 9
b. ISM staff shall file copies of the U.S. Attorney's written statement
as follows:
#

Original to the inmate,

#

copy to the J&C File,

#

copy to the U.S. Attorney in the district where the inmate is
located, if not the same district where the fine, or fine and
costs were imposed.

c. If the U.S. Attorney authorizes release of the inmate without any
payment toward the fine, or fine and costs, a copy of the statement
furnished to the inmate shall be the institution's authority to release the
inmate. The inmate shall not be released any earlier than the inmate's
scheduled date of release.
If the U.S. Attorney requires the inmate to pay some or all of the fine,
or fine and costs, a copy of the U.S. Attorney's written statement
furnished to the inmate shall serve as the institution's authority to hold
the inmate until the matter is resolved. In such cases, the inmate shall
stay confined until the U.S. Attorney authorizes the inmate's release.
d. If an inmate in a camp or community-based facility is held beyond the
inmate's scheduled release date for refusal to pay some or all of the fine,
or fine and costs, staff should consider whether the inmate needs to be
transferred to a more secure facility pending resolution of the fine.
12. NON-COMMITTED FINE. The court may impose a fine, or fine and costs,
as part of the penalty provision of the inmate's status without requiring
that the inmate stand committed until the fine, or fine and costs, is paid.
In such case, the J&C will generally state that a fine, or fine and costs
have been imposed and contain no additional language.
Advance notification of an inmate's release date does not need to be sent
to the U.S. Attorney, since release is not a condition of payment, unless
the U.S. Attorney requests advance notification in an individual case. On
the inmate's date of release, ISM shall notify the U.S. Attorney for the
district in which the fine, or fine and costs, was imposed of the inmate's
release date

by completing the Notice to U.S. Attorney of Release of Inmate with Fine
form (BP-S384), (original to U.S. Attorney and copy for J&C file). If the
inmate has paid the fine, or fine and costs, there is no requirement for
notification upon release.
13.

SPECIAL CIRCUMSTANCES WITH FINES AND COSTS

PS 5882.03
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Page 10
a. If the J&C creates some doubt as to whether the fine, or fine and
costs are committed or non-committed, the ISM shall refer the case to the
RISA for assistance. Whenever appropriate, the RISA will discuss the issue
with the Regional Counsel or other appropriate staff members.
b. The Unit Manager or Case Manager shall include fine, or fine and
costs, information in all inmate reports and summaries (including Furlough
Authorizations). One of the principal reasons is to make the U.S. Parole
Commission aware of the fine status and to ensure a parole grant date will
be set off at least 60 days from the date of the "Notice of Action" to
allow time to process the fine, or fine and costs, prior to the effective
date of parole.
c. If an inmate’s sentence has been completed and the inmate is held
solely for non-payment of a committed fine, the sentence shall be satisfied
and the inmate’s SENTRY status changed from
that of a designated inmate to a pre-sentence admission.
d. An indigent inmate may not be held beyond his or her regularly
established release date for nonpayment of a fine.
e. If an inmate with a committed fine, or fine and costs is released
from incarceration by application of the "Indigency Oath" and is returned
to custody (i.e., parole violation) on the same case, the fine, or fine and
costs or unpaid portion thereof is reinstated.

/s/
Kathleen M. Hawk
Director

PS 5882.03
2/4/98
Attachment A, Page 1
PAYMENTS EXEMPT BY FEDERAL STATUTE WITHOUT REGARD
TO THE STATE OF THE DEBTOR'S RESIDENCE:

1.

2.

3.

Benefits payable to servicemen and veterans and their dependents and beneficiaries.
a.

Benefits administered by the VA (38 U.S.C. § 3101). Such benefits deposited in a savings and loan
association retain their exempt status when not permanent investments (370 U.S. 159 (1962)).

b.

Annuities based on retired or retained pay to members of the armed services (10 U.S.C. § 1440).

c.

Special $100 a month pensions to Medal of Honor recipients (38 U.S.C. § 562).

d.

Armed Forces Survivor Benefit Plan annuities (10 U.S.C. § 1450).

e.

Benefits payable under the Veteran's Group Life Insurance plan (38 U.S.C. § 770).

Certain benefits payable to Government employees or former Government employees.
a.

Civil Service retirement and disability benefits (5 U.S.C. § 8346).

b.

Foreign Service Officer's and Employees' retirement and disability benefits (22 U.S.C. § 1104).

Benefits payable to other persons.
a.

Social Security old age, survivors, and disability insurance benefits (42 U.S.C. § 407).

b.

Longshoremen's and harbor workers' compensation and benefits (33 U.S.C. § 916).

c.

Wages due merchant seamen and fisherman (46 U.S.C. § 563 and § 601).

d.

Railroad retirement and pension benefits (45 U.S.C. § 228L).

e.

Railroad workers unemployment insurance benefits (45 U.S.C. § 352(e)).

f.

Compensation payments for injury, death or detention, due to war risk hazards, of certain employees of
contractors with the United States outside the United States, non-appropriated fund activity employees
outside the United States, and those employed outside the United States under a contract for their personal
services outside the United States (42 U.S.C. § 1717).

g.

Annuities to widows, widowers and surviving children of justices and judges (28 U.S.C. § 376).

PS 5882.03
2/4/98
Attachment A, Page 1
COMMITTED FINE TRANSFERS TO NON-FEDERAL FACILITIES
Community Corrections Managers (CCMs) have responsibility for inmates transferred to contract community-based facilities and
to state institutions as boarders. Regional Inmate Systems Administrators (RISAs) have responsibility for inmates
transferred to state institutions for service of federal sentences concurrently with state sentences.
If an inmate will have less than six months remaining until his/her release date at the time of the expected transfer to a
non-federal facility, staff at the transferring institution are to ensure that the following information is completed and
forwarded with the inmate.*
a.

Staff should assist the inmate in completing the Financial Statement of Debtor, Form OBD-500.

b.

Staff should assist the inmate in completing the Application for a Determination of Ability to Pay Committed Fine
portion of the Form Bp-S401.

c.

The Notice to U.S. Attorney of Committed Fine, Form Bp-S395, as well as the forms mentioned above, shall be
completed and forwarded to the appropriate U.S. Attorneys prior to the inmate's departure.

d.

If the institution has any problems complying with these instructions, the Inmate Systems Manager (ISM) must explain
the problem(s) in a memorandum to the CCM or RISA. This allows the CCM or RISA to be aware of the status of the
fine processing.

Before the inmate submits the Form Bp-S401, Committed Fine Application, Oath, and Order to the U.S. Magistrate Judge, the CCM
or RISA must review the inmate's financial status, using the same information that the Warden would use. As part of this
review, the CCM or RISA should make every possible effort to acquire information about the inmate's financial status from the
U.S. Attorney of the sentencing district.
Based on his/her review, the CCM or RISA should form an opinion as to the inmate's indigency status. This opinion, and the
reasons for it, are to be documented in a written memorandum sent to the U.S. Magistrate Judge. Accompanying the memorandum
shall be Form OBD-500, Financial Statement of Debtor, Sentence Monitoring Computation Data sheet, pre or post-sentence
report, and any other documentation or information used in arriving at the opinion. This package must be sent to the U.S.
Magistrate Judge no later than 21 calendar days prior to the release date. The CCM or RISA is responsible for assuring that
the inmate makes all required appearances before the U.S. Magistrate Judge.
If the U.S. Magistrate Judge makes a finding of indigency, and allows the inmate to take the Oath of Indigent Prisoner, the
inmate shall be released on the date specified by the U.S. Magistrate Judge. If the U.S. Magistrate Judge makes a finding of
non-indigency, the CCM or RISA shall ensure that all pertinent information is forwarded to the United States Attorney for a
final determination as to the inmate's ability to pay the committed fine. Procedures for this referral are discussed in the
current Program Statement on Fines and Costs for "old law" inmates.

*If an inmate will have at least six months remaining until his/her release date at the time of the expected transfer to a
non-federal facility, the instructions given in Attachment C - COMMITTED FINE DIRECT COMMITMENTS OR DESIGNATIONS TO NONFEDERAL FACILITIES - are to be followed.

PS 5882.03
2/4/98
Attachment B, Page 1
COMMITTED FINE DIRECT COMMITMENTS OR DESIGNATIONS TO NON-FEDERAL FACILITIES
Community Corrections Managers (CCMs) have responsibility for inmates committed directly from the court to contract
community-based facilities and to state institutions as boarders. Regional Inmate Systems Administrators (RISAs) have
responsibility for inmates designated to state institutions for service of federal sentences concurrently with state
sentences.
Since this inmate is not committed to a federal institution prior to the commitment to a non-federal facility, the CCM or
RISA must initiate and follow through on the procedures for processing the committed fine.
a.

Promptly after the inmate's commitment, the inmate shall be informed that there is a committed fine, or fine and
costs on file against the inmate, as part of the sentence.

b.

If the inmate pays the committed fine, or fine and cost or claims that the fine, or fine and costs has been paid,
the CCM or RISA shall obtain a copy of the receipt or similar document from the clerk of the court in which the fine
was imposed and make such receipt or similar document a part of the Judgment and Commitment File. No further action
need be taken after payment of a fine, or fine and costs.

c.

The CCM or RISA or designee shall interview an inmate with an unpaid committed fine, or fine and costs at least 75
days prior to the inmate's pending release date. The inmate shall be advised that to secure release without paying
the committed fine, or fine and costs in full, the inmate must make an application, on the appropriate form, to the
U.S. Magistrate Judge for a determination as to whether the inmate is considered indigent under 18 U.S.C. § 3569.
The inmate applies for a determination as to indigency by completing Form Bp-S401, Committed Fine Application, Oath,
and Order and attaching to each copy a copy of the completed Form OBD-500, Financial Statement of Debtor.

d.

The CCM or RISA shall notify the United States Attorneys in the district where the fine was imposed, the district in
which the inmate is confined, using Form Bp-S395, Notice to U.S. Attorney of Committed Fine and designated staff at
the non-federal facility of the inmate's pending release date as soon as Form Bp-S401 and Form OBD-500 are complete,
but not less than sixty days before the release date. If the inmate has problems completing the forms or refuses to
complete either of the forms, then the Form Bp-S395 shall be distributed at the time specified with an explanation
as to the reason either or both forms are not attached. Copies of the Form Bp-S401 and/or Form OBD-500 shall be
distributed if and when the inmate completes the forms. If it is not possible to furnish such notice sixty days in
advance, then the written notice shall be sent as soon as the CCM or RISA learns of the pending release date. The
CCM or RISA shall notify both United States Attorneys by telephone or teletype in addition to the written notice
when the notice cannot be made sixty days in advance. If the Parole Commission grants parole less than sixty days
in advance of the effective date of release, the Regional Parole Commissioner shall be notified so that an amended
"Notice of Action" can be issued.

e.

Before the inmate submits Form Bp-S401 to the U.S. Magistrate, the CCM or RISA must review the inmate's financial
status, using the same information that the Warden would use. As part of this review, the CCM or RISA should make
every possible effort to acquire information about the inmate's financial status from the U.S. Attorney of the
sentencing district.
Based on his/her review, the CCM or RISA should form an opinion as to the inmate's indigency status. This opinion,
and the reasons for it, are to be documented in a written memorandum sent to the U.S. Magistrate Judge.
Accompanying the memorandum shall be the Form Bp-S401, Form OBD-500, the Sentence Data Record, the pre or post
sentence report, and any other documentation or information used in arriving at the opinion. This package must be
sent to the U.S. Magistrate Judge no later than 21 days prior to the release date.

f.

The CCM or RISA is responsible for assuring that the inmate makes all required appearances before the U.S.
Magistrate Judge.

PS 5882.03
2/4/98
Attachment C, Page 2
g.

If the U.S. Magistrate Judge makes a finding of indigency, and allows the inmate to take the Oath of Indigent
prisoner, the inmate shall be released on the date specified by the U.S. Magistrate judge. If the U.S. Magistrate
Judge makes a finding of non-indigency, the CCM or RISA shall ensure that all pertinent information is forwarded to
the United States Attorney for a final determination as to the inmate's ability to pay the committed fine.
Procedures for this referral are discussed in the current Program Statement on Fines, or Fines and Costs.

*These instructions also apply to an inmate transferred from a federal to a non-federal facility, provided the inmate has at
least six months remaining until his/her release date. if the inmate is transferred from a federal to a non-federal facility
with less than six months remaining until his/her release date, the instructions given in Attachment B - COMMITTED FINE
TRANSFERS TO NON-FEDERAL FACILITIES - should ensure that the required information accompanies the inmate.


U.S. Department of Justice
Federal Bureau of Prisons

OPI: FPI
NUMBER: 5350.24
DATE: July 24, 1997
SUBJECT: English-as-a-Second Language
Program (ESL)

1. [PURPOSE and SCOPE §544.40. Pursuant to the Crime Control
Act of 1990 (18 U.S.C. § 3624 (f)), limited English proficient
inmates confined in Federal Bureau of Prisons institutions are
required to attend an English-as-a-Second Language (ESL) program
until they function at the equivalence of the eighth grade level
in competency skills. Waivers to this requirement may be granted
by the Warden in accordance with §544.41 and 544.42.]
This Program Statement applies to:
!

inmates with limited English proficiency who entered Bureau
institutions after March 29, 1994, regardless of their
degree of literacy in their native or other language, and

!

other inmates whose English proficiency is limited as
defined in Section 7.

The Crime Control Act of 1990, codified in 18 U.S.C. § 3624 (f),
requires that:
!

non-English-speaking Federal prisoners participate in an ESL
program until they function at the equivalent of the eighthgrade level on a nationally recognized education achievement
test.

Except as provided in Section 5, each inmate who has limited
English proficiency skills is required to complete one mandatory
period of ESL program participation during his or her
confinement. The mandatory period ends when the inmate has
achieved the eighth-grade level as measured by a score of 225 on
the ESL CASAS Level C Reading Certification test and a score of
215 on Level B or C of the Listening Comprehension test.

[Bracketed Bold - Rules]
Regular Type - Implementing Information

PS 5350.24
July 24, 1997
Page 2
2. PROGRAM OBJECTIVES.
are:

The expected results of this program

a. Inmates with limited English proficiency skills will be
afforded the opportunity to enhance their communication skills,
and some of those inmates will be required to participate.
b. Participants in an English-as-a-Second-Language Program
will be tested to determine their English proficiency level.
3.

DIRECTIVES AFFECTED
a.

Directive Rescinded
PS 5350.21

b.

English-as-a-Second-Language Program
(03/29/94)

Directives Referenced
PS 1505.02
PS 5100.06
PS 5270.07
PS 5300.17
PS 5310.15
PS 5322.10
PS 5890.12
PS 7331.03

Language Translation Used in Official
Documentation (11/16/92)
Security Designation and Custody
Classification Manual (06/07/96)
Inmate Discipline and Special Housing Units
(12/29/87)
Education, Training, and Leisure-Time Program
Standards (09/04/96)
Minimum Standards for Administration,
Interpretation, and Use of Education Tests
(09/04/96)
Classification and Program Review (09/04/96)
SENTRY - National On-Line Automated
Information System (10/08/96)
Pretrial Inmates (11/22/94)

18 U.S.C. § 3624(f) (Comprehensive Crime Control Act of
1990)
c. Rules cited in this Program Statement are contained in 28
CFR 544.40-44.
4.

STANDARDS REFERENCED

a. American Correctional Association Foundation/Core Standards
for Adult Correctional Institutions: FC2-5094, C2-4169, C2-4235,
C2-4239.
b. American Correctional Association 3rd Edition Standards for
Adult Correctional Institutions: 3-4395, 3-4410, 3-4418, 3-4419,
3-4420, 3-4422.
c. American Correctional Association Foundation/Core Standards
for Adult Local Detention Facilities: C2-5256, C2-5262.

PS 5350.24
July 24, 1997
Page 3
d. American Correctional Association 3rd Edition Standards for
Adult Local Detention Facilities: 3-ALDF-5A-02, 5B-01, 5B-03.
5.

[APPLICABILITY: WHO MUST ATTEND THE ESL PROGRAM §544.41.

a. All Federal prisoners who have limited English proficiency
skills shall attend an ESL program except:
(1)

Pretrial inmates;

The term "pretrial inmates" is defined in the Program
Statement on Pretrial Inmates.
A pretrial inmate may participate in correspondence and self
study ESL courses. Institutional staff may also arrange for
educational assistance to the pretrial inmate through the use of
contract personnel or community volunteers.
When consistent with institution security and good order,
pretrial inmates may have access to the institution’s educational
program.
(2) Inmates committed for purpose of study and observation
under the provisions of 18 U.S.C. 4205(c) or, effective November
1, 1987, 18 U.S.C. 3552 (b);
(3)

Sentenced aliens with a deportation detainer;

A deportable alien status shall be verified by using the
Public Safety Factor scoring included in the Security
Designations and Custody Classification Manual and shall be
reviewed at each program review. Other indicators may include
citizenship and the Case Management Activity (CMA) assignment.
(4) Other inmates whom, for documented good cause, the
Warden may excuse from attending the ESL program.]
The Warden may excuse other inmates, for documented good
cause. Inmates exempted from the mandatory ESL requirement may
participate in the ESL program if they so desire and with staff
approval. If classroom space and resources are limited, priority
shall be given to mandatory students.
The Warden may establish an appropriate English language
level requirement as qualification or prerequisite for selected
inmate positions.
[b. Staff shall document in the inmate's education file the
specific reasons for not requiring the inmate to participate in
the ESL program.]

PS 5350.24
July 24, 1997
Page 4
The Warden may not delegate ESL program exemption authority below
the Associate Warden level. The Justification-of-Exemption Record in
the SENTRY-based inmate education record system shall be used to
document the exemption.
The Warden may encourage certain exempt inmates to achieve basic
skills level scores for purposes of effective institution management.
6.

COMPREHENSIVE ADULT STUDENT ASSESSMENT SYSTEM (CASAS) TESTS

Comprehensive Adult Student Assessment System (CASAS) tests shall be
used to assess an inmate’s English language proficiency level. CASAS
tests measure two skill areas: reading and listening comprehension
(understanding the spoken word).
!

The reading portion assesses the student's ability to apply basic
reading skills in a functional context and measures specific life
skills competencies.

!

The listening comprehension portion assesses the student's
ability to understand spoken words and to apply basic listening
skills in real life situations. The listening test also measures
specific life skills competencies and complements the reading
survey achievement tests described below.

CASAS tests shall consist of:
!
!
!

listening and reading placement tests,
listening and reading achievement tests, and
listening and reading certification tests.

The placement test provides guidelines for inmate placement into
appropriate instructional levels and guides the instructor toward the
classroom use of the appropriate survey achievement test.
Survey achievement tests help teachers develop curricula, measure
student progress over a 90-day period, and identify student
weaknesses. The ESL teacher or coordinator may administer placement
and survey achievement tests.
The Level C Reading Certification test is the only test that certifies
performance at 225 (or eighth-grade level) and allows exit from the
mandatory program when the listening comprehension test requirement is
satisfied.
7.

[PROCEDURES §544.42

a. The Warden at each federal institution shall ensure that inmates
who at their initial classification are found to be limited English
proficient are enrolled in the ESL program. Determination of limited
English proficiency is made by staff on the basis of personal
interviews and placement testing.]

PS 5350.24
July 24, 1997
Page 5
Limited-English-proficient inmates (LEP) shall be referred to
the ESL Coordinator for CASAS placement testing based on their
inability to:
!
!
!

Complete the education interview form in English
Comprehend A&O lectures in English
Read and understand information at initial
classification.
The English proficiency of an inmate who has already been
classified shall be evaluated at his or her next scheduled
program review.
Based on each inmate's ability to understand and read English
during the initial education interview or the initial unit team
classification, the education representative, in conjunction with
the unit team, shall determine whether to recommend that the
inmate be tested with CASAS assessment instruments.
Bilingual inmates who speak the English language, but who are
illiterate in his/her native and in the English language shall be
placed in the mandatory literacy program.
(1) The ESL coordinator shall use listening comprehension
and reading ESL CASAS Placement test scores to assess and place
limited-English-proficient inmates in the ESL program.
!

ESL teachers shall use CASAS Survey Achievement test
scores (levels A, B, or C) to monitor student reading
and listening progress.

!

The ESL CASAS Level C Reading Certification test shall
be used for program completion and shall be
administered only when inmates have achieved a score of
215 or above in the Listening Comprehension Survey
Achievement tests, forms B or C, and have attained a
reading score of at least 225 on the C level Survey
Achievement test.

(2)

A 225 on the CASAS Level C Reading Certification test
is the equivalent of an eighth-grade ESL level.

!

Inmates who achieve this score and a score of 215 in
form B or C of the Listening Comprehension Survey
Achievement test meet the mandatory ESL requirement.

[b. An inmate who returns to the Federal Bureau of Prisons on
a new sentence or as a parole violator, and who has not achieved
or is unable to demonstrate verified achievement of the eighth
grade level, must provide verification or enroll in the ESL
program until that inmate achieves such a grade or is granted a
waiver for cause.]

PS 5350.24
July 24, 1997
Page 6
Achievement of the eighth-grade level is measured by a score of
225 on the CASAS Level C Reading Certification test and a score
of 215 on forms B or C of the CASAS Listening Comprehension
Survey Achievement test.
[c. The Warden or designee shall assign to an education staff
member the responsibility to coordinate the institution's ESL
program. The ESL coordinator or designee shall meet with the
inmate for the purpose of enrolling the inmate in the ESL
program. The ESL coordinator shall be responsible for the
completion of the official ESL Program Record, and shall place it
in the inmate's education file.]
The Supervisor of Education is ordinarily delegated authority
to designate the ESL coordinator. When feasible, a second staff
member shall be designated the institution's alternate ESL
coordinator and shall assist, as necessary.
The ESL coordinator or designee shall record the initial
assessment and the classroom teacher shall record subsequent test
scores, as well as the dates of participation in the ESL program,
on the SENTRY-based inmate education system for all LEP inmates
in the institution, using the SENTRY-based education transcript
system (Attachment A).
The ESL coordinator shall monitor the inmate's progress in the
ESL program.
!

Except as provided in Section 5 of this Program
Statement, inmates who score below 225 in the CASAS
Placement test in reading shall be regarded as not
functioning at the eighth-grade level and shall be required
to attend an ESL program until they achieve a score of 225
on the CASAS Level C Reading Certification test.
!

Inmates who score below 215 in listening on the CASAS ESL
Placement test are also required to attend ESL classes until
they achieve a score of 215 in listening on forms B or C of
the Survey Achievement Listening tests.
Inmates may be referred for retesting after 30 hours of
instruction.
[d. Ordinarily, there will be no time limit for completion of
the ESL mandatory program. However, after 240 instructional
hours of continuous enrollment in an ESL program, excluding sick
time, furloughs, and other excused absences from scheduled
classes, the Warden shall have the authority to grant a waiver
from further program participation. This waiver may be granted
when it is determined that the inmate will not benefit from
further instruction. Each exemption determination shall be made
on an individual basis and shall be supported by documentation.]

PS 5350.24
July 24, 1997
Page 7
Documentation shall consist of attendance records, classroom
observation notes and individual progress tracking folders, as well as
test scores or a documented disability which prevents the inmate from
achieving a score of 225 on the CASAS Certification test. A waiver
shall be granted only after all efforts have been made to achieve
program completion.
!

The authority to waive inmates for specific and good cause may
not be delegated below the Associate Warden level. Requests for
exemptions shall be directed to the Warden or designee after the
ESL coordinator and the Supervisor of Education have approved
them.
!

The ESL coordinator shall document in the SENTRY-based
electronic education system the specific reasons for not
requiring the inmate to enroll or continue in the ESL program.
!

Participation in the mandatory ESL program may be postponed
while the inmate is enrolled in the mandatory literacy program at
the Supervisor of Education's discretion.
!

Ordinarily, a "day" in a mandatory program such as ESL is a
minimum of two instructional hours. Daily program hours may be
longer, contingent upon local institution resources and needs.
e. The ESL coordinator or designee is required to maintain a
SENTRY-based waiting list, when necessary.
8. ESL ACHIEVEMENT LEVEL. The term "equivalence of the eighth grade"
refers to the achievement of an 8.0 grade level in reading
competencies as measured by a score of 225 on the CASAS Level C
Reading Certification test.
Inmates may be enrolled in ESL classes, depending on their ESL
placement scores. Only one mandatory or non-mandatory program
completion per inmate may be reported on SENTRY.
Inmates whose scores are equal to or above 225 on the CASAS
Certification test and who wish to improve their English skills may be
referred to the literacy program or the non-mandatory ESL.
9. [INCENTIVES §544.43. The Warden or designee shall establish a
system of incentives to encourage an inmate to meet the mandatory ESL
program requirements.]
Each institution shall establish a system of appropriate awards (e.g.,
cash awards, certificates, dictionaries) for mandatory and nonmandatory inmates in recognition of satisfactory progress and
completion of the ESL program. The ESL program incentives system
shall be described in writing and presented to inmates during the
Admission and Orientation process.

PS 5350.24
July 24, 1997
Page 8
10. [DISCIPLINARY ACTION §544.44. As with other mandatory
programs, such as work assignments, staff may take disciplinary
action against an inmate when that inmate refuses to enroll and
participate in, or to meet the minimum requirements of the
mandatory ESL program.]
The inmate may be charged with prohibited act 306, Refusing to
Accept a Program Assignment, or any other appropriate prohibited
act (see the Program Statement on Inmate Discipline and Special
Housing Units).
11. ESL CLASS SCHEDULE. ESL classes shall be scheduled Monday
through Friday. When possible, the ESL program should operate
during daytime hours; however, if the Warden determines that a
daytime literacy program would unduly affect other institution
programs (e.g., work assignments) it can be offered in the
evening.
12. TEST ADMINISTRATOR. The staff person who normally
administers other education tests shall administer the ESL CASAS
Certification test and Survey Achievement Listening tests B Form
L54 and C Form L56. Under no circumstances shall the ESL teacher
or coordinator administer the CASAS Certification tests.
Suspicion or occurrence of CASAS Certification test compromise
shall be reported immediately to the Regional Education
Administrator and the Central Office Education Administrator.
13. TRANSFERS. An inmate, who transfers to another institution
prior to completing the mandatory ESL program, is expected to
complete the program at the new institution. The sending
institution shall record test scores, current diagnostic test
information, class attendance time, and related data in the
SENTRY-based electronic education file and complete the
appropriate SENTRY transactions.
14. PROGRAM COMPLETION. A program completion is the achievement
of an eighth-grade equivalent in reading skills as measured by a
score of 225 in the CASAS Certification test and a 215 in the
Listening Comprehension test.

\s\
Kathleen M. Hawk
Director

PS 5350.24
July 24, 1997
Attachment A, Page 1
BOPUU
*
PAGE 001 OF 001 *

INMATE EDUCATION UPDATE
SINGLE TEST/SUBTEST

REGISTER NUMBER..:
FUNCTION.........:

***
***

NAME..:
RSP OF:

TEST.............:
SUBTEST..........:
SUBTEST DATE.....:

CASAS
***
MM-DD-YYYY

*
*

***
***

SCORE............:
STATE REPORTED TO:
FORM.............:
TESTING FACILITY.:
BOPUU
PAGE 001 OF 01

*
*

INMATE EDUCATION UPDATE
*
PERIODIC REVIEW / WITHDRAWAL INTERVIEW *

REGISTER NUMBER........:
FUNCTION...............:

***
***

NAME..:
RSP OF:

***
***

PROGRAM................:
DATE OF INTERVIEW......:
REVIEW/WITHDRAWAL (R/W):

***
MM-DD-YYYY
*

(

)

IF PERIODIC REVIEW:
TYPE OF REVIEW....:

(
(

)
)

IF VOLUNTARY WITHDRAWAL:
WITHDRAWAL REASON.:
PROGRESS MADE.....:
RE-ENROLLMENT.....:

(
(
(
(

)
)
)
)

INMATE EDUCATION DATA
JUSTIFICATION OF EXEMPTION

*
*

INTERVIEW COMPLETED BY.:

BOPUU
PAGE 001 OF 01

*
*

REGISTER NUMBER........:
FUNCTION...............:

***
***

PROGRAM................:
DATE OF REQUEST........:
EXEMPTED FROM..........:

***
MM-DD-YYYY
***

REASON FOR EXEMPTION...:
RECOMMENDED BY.........:
CONDITIONS.............:
REMARKS................:
APPROVED/DISAPPROVED:
DATE:
SOE:_____________________________

NAME..:
RSP OF:

(
(
(

***
***

)
)
)

WARDEN: ______________________


U.S. Department of Justice
Federal Bureau of Prisons

OPI: CPD
NUMBER: 6590.07
DATE: December 31, 1996
SUBJECT: Alcohol Surveillance and
Testing Program

1. [PURPOSE AND SCOPE ยง550.10. The Bureau of Prisons maintains
a surveillance program in order to deter and to detect the
illegal introduction or use of alcohol in its institutions. In
an effort to reduce the introduction or use of alcohol, the
Warden shall establish procedures for monitoring and testing
individual inmates or groups of inmates who are known or
suspected to be users of alcohol, or who are considered high
risks based on behavior observed or on information received by
staff.]
Ordinarily, the Warden shall designate the Captain as the
institution's alcohol testing coordinator.
2. PROGRAM OBJECTIVES.
are:

The expected results of this program

a.

An inmate's use of alcohol will be detected.

b.

Use of alcohol by inmates will be deterred.

c.

A safe and orderly environment will be provided for
inmates.

3. DIRECTIVES AFFECTED
a.

Directive Rescinded
PS 6590.05

b.

Alcohol Testing (02/03/88)

Directive Referenced
PS 1627.01
PS 5270.07

Commercial Drivers, Testing for Use of
Controlled Substance and Alcohol (11/29/96)
Inmate Discipline and Special Housing Units
(12/29/87)

[Bracketed Bold - Rules]
Regular Type - Implementing Information

P.S. 6590.07
December 31, 1996
Page 2
PS 5360.06

Religious Beliefs and Practices of Committed
Offenders (08/29/96)

c. Rules cited in this Program Statement are contained in 28
CFR 550.10.
3.

STANDARDS REFERENCED.

None.

4. PRETRIAL/HOLDOVER PROCEDURES. Procedures required in this
Program Statement are applicable to pretrial and holdover
inmates.
5. LEVEL OF TESTING. Each Warden shall determine the
appropriate level of monitoring and testing to ensure adequate
control of alcohol. Among the factors that shall be consider
are:
#
#
#
#

Security level of the institution,
Opportunity for inmates to acquire alcohol through community
contacts,
Specific work areas where the ingredients for making
alcoholic beverages are located, and
The work and living areas of inmates who have histories of
alcohol abuse.

6. ALCOHOL TESTING EQUIPMENT. The Alco-Sensor Model II, III or
IV, shall be used for testing. Employees assigned to use the
instrument shall be knowledgeable of its operation as described
in the company brochure.
Calibration checks shall be performed on the Alco-Sensor at least
monthly according to procedures outlined in the company brochure,
and each calibration shall be documented in the alcohol test log.
7. ALCOHOL TEST LOG. An alcohol test log shall be maintained in
a bound ledger, which can be a log book, loose leaf binder, or
other documentation, indicating:
#
#
#
#
#
#

Identification of inmate being tested,
Identification of employee performing the test,
Date and time test administered,
Test results,
Whether the inmate refused to cooperate, and
Type of test.

8. TESTING PROCEDURES. Alcohol testing shall be accomplished
through the following procedure:
#
#
#

Employees shall ensure that the inmate being tested is not
permitted to eat, drink or smoke.
A reading of .02 or higher shall be considered positive.
If the first test is positive, a second confirmation test
shall be administered 15 minutes after the initial test.

P.S. 6590.07
December 31, 1996
Page 3
[a. Staff may prepare a disciplinary report on an inmate who
shows a positive substantiated test result for alcohol.]
If the confirmation test registers .02 or higher, an incident
report shall be prepared, unless there are exceptional
circumstances to prove otherwise, charging the inmate with using
intoxicants.
[b. Staff may initiate disciplinary action against an inmate
who refuses to submit to an alcohol test.]
An inmate's refusal to be tested may be by word or action. The
employee who writes the disciplinary report shall clearly
document the statements or actions which indicated a refusal.
See the Program Statement on Inmate Discipline and Special
Housing Units for further information.
9. TESTING SUSPECT LIQUIDS. The Alco-Sensor instrument shall be
used to test liquids suspected of containing alcohol following
procedures outlined in the company brochure.
Liquids with a test reading of .02 or higher shall be considered
positive for alcohol.
10. FEDERAL HIGHWAY ADMINISTRATION (FHWA) TESTING. Inmates
assigned to drive a vehicle requiring a commercial drivers
license, under FHWA guidelines are also subject to alcohol
testing.
11. INSTITUTION SUPPLEMENT. An Institution Supplement shall be
developed at each institution to implement this Program
Statement.

\s\
Kathleen M. Hawk
Director


U.S. Department of Justice
Federal Bureau of Prisons

OPI: CPD
NUMBER: 5508.02
DATE: December 12, 1996
SUBJECT: Hostage Situations or Criminal
Actions Requiring FBI Presence

1. PURPOSE AND SCOPE. To implement procedures for the
Memorandum of Understanding (MOU) signed on October 24 and 25,
1996, between the Federal Bureau of Prisons (Bureau) and Federal
Bureau of Investigation (FBI) concerning successful resolution of
hostage situations or criminal actions which require FBI presence
at Bureau facilities.
2. PROGRAM OBJECTIVES.
are:

The expected results of this program

a. When mutual Bureau/FBI activity is required to resolve an
emergency incident, prior exchange of information and planning
will have occurred, and a plan of action will be in place and
applied.
b. In situations involving the Bureau and the FBI, there will
be a clear understanding of, and adherence to, the chain of
command.
c. Actions by Bureau and FBI staff in emergency situations
will be taken only with approval of the appropriate authorities.
3.

DIRECTIVES AFFECTED
a.

Directives Rescinded
PS 5508.01

Hostage Situations or Criminal Actions
Requiring FBI Presence (03/07/95)

b. Directives Referenced
PS 1380.05
PS 5500.07
PS 5568.04

Special Investigative Supervisors Manual
(08/01/95)
Correctional Services Manual (01/31/95)
After-Action Reporting and Review (04/11/96)

P.S. 5508.02
December 12, 1996
Page 2
5.

STANDARDS REFERENCED.

None.

6. PRETRIAL/HOLDOVER PROCEDURES. Procedures required in this
Program Statement are applicable to pretrial and holdover
inmates.
7. MEMORANDUM OF UNDERSTANDING (MOU). On October 24 and 25,
1996, the Directors of the Bureau and the FBI signed a Memorandum
of Understanding concerning successful resolution of hostage
situations or other criminal actions in which FBI presence is
required (Attachment A).
Under the provisions of the MOU, the Bureau has primary
responsibility for all operations during routine and emergency
procedures.
The FBI has investigative responsibility for:
#

All violations of Title 18, (T18), United States Code
(U.S.C.), Section 13 (Crimes on Government
Reservations)(CGR), including the jurisdiction as defined in
Section 7 (Special maritime and territorial jurisdiction of
the United States defined), and

#

Criminal activities at Bureau facilities, to include hostage
situations or similar incidents, under T18, U.S.C., Sections
1791 and 1792 (Irregularities in Federal Penal
Institutions), and T18, U.S.C., Section 1203 (Hostage
Taking).

The Bureau Official-In-Charge, whom the Bureau Director
designates, shall be the Bureau On-Scene Commander and shall
consult with other agency senior officials during the incident.
#

In the event of an advisory response by the FBI, the Bureau
On-Scene Commander shall retain command and control of all
aspects of the crisis response.

#

Bureau Headquarters shall retain overall command and control
of the incident.

In the event of an FBI operational response, which will include
an FBI On-Scene Commander and a command and control element, the
Bureau and FBI On-Scene Commanders shall work cooperatively
toward resolution of the crisis.
#

The FBI On-Scene Commander, in consultation with the Bureau
On-Scene Commander, may initiate an emergency assault should
there be imminent threats to life or serious injury to
hostages, inmates, or law enforcement personnel.

P.S. 5508.02
December 12, 1996
Page 3
8. LOCAL OPERATIONAL PLANS. Wardens and FBI Special Agents-inCharge shall develop a program to exchange information concerning
each facility within a field division's territory.
This program shall include:
#
#
#
#

9.

the specifics of how joint operations will be implemented,
site surveys,
appropriate interagency training, and
logistical support during a crisis situation at Bureau
institutions.
COMMAND, CONTROL AND COORDINATION

a. In the event of an "advisory response", the FBI will deploy
FBI crisis management assets to assist/advise the Bureau's crisis
response resources.
b. In the event of an operational response, the FBI will
respond with an FBI On-Scene Commander and a command and control
element.
c. In all cases, when time permits, each agency's senior staff
member on-site shall contact his/her headquarters to discuss
proposed actions.
#

Upon arrival of the FBI crisis response resources
during an FBI operational response, the FBI and Bureau
shall immediately form a joint command post.

#

Once an FBI operational response is fully activated at
the scene, the FBI On-Scene Commander assumes
responsibility of all crisis management assets (Bureau
and FBI) in terms of planning for and executing plans
for incident resolution.

#

The Bureau On-Scene Commander retains overall
responsibility for the institution and the incident.

d. Bureau and FBI Headquarters command centers shall establish
and maintain a direct link throughout the duration of the
incident to exchange information and address issues of mutual
concern.
#

Issues that cannot be resolved at the scene or at the
command center level will be addressed at headquarters
level by senior Bureau and FBI staff.

e. The FBI On-Scene Commander will conduct additional criminal
investigations following the resolution of the incident,
including crime scene investigation, if appropriate.

P.S. 5508.02
December 12, 1996
Page 4
#

Debriefing of all officials involved is required and
shall be accomplished as soon as possible after the
resolution of the incident and will be coordinated
through the FBI On-Scene Commander.

#

The Bureau's policy regarding post incident interviews
and investigation is not superseded by this
requirement. Refer to the Program Statement on AfterAction Reporting and Review for further information.

\s\
Kathleen M. Hawk
Director

P.S. 5508.02
December 12, 1996
Attachment A, Page 1
MEMORANDUM OF UNDERSTANDING (MOU)
BETWEEN THE FEDERAL BUREAU OF PRISONS (BOP)
AND THE FEDERAL BUREAU OF INVESTIGATION (FBI)
ON HOSTAGE OR CRISIS INCIDENTS AT BUREAU OF PRISONS FACILITIES
I. PURPOSE: This Memorandum of Understanding (MOU) is to
establish interagency operational policy guidelines for Federal
Bureau of Prisons (BOP) and Federal Bureau of Investigation (FBI)
personnel for the successful resolution of hostage situations or
criminal actions which require FBI presence at BOP facilities.
II.

III.

JURISDICTION:
A.

The BOP has primary responsibility for all operations
at federal correctional facilities during routine and
emergency operations.

B.

The FBI has primary investigative responsibility for
all violations of Title 18 (T18), United States Code
(USC), Section 13 (Crimes on a Government Reservation)
(CGR) including the jurisdiction as defined in Section
7 (Special maritime and territorial jurisdiction of the
United States defined).

C.

The FBI also has investigative responsibility for
criminal activities at BOP facilities, to include
hostage situations or similar incidents, under T18,
USC, Sections 1791 and 1792 (Irregularities in Federal
Penal Institutions), and T18, USC, Section 1203 Hostage
Taking.

DEFINITIONS:
As used herein:
A.

"BOP On-Scene Commander" refers to a BOP field
commander whom the BOP Director has designated as in
charge of the BOP facility.

B.

"FBI On-Scene Commander" refers to an FBI SAC or SAC's
designee who is in charge of the FBI resources during
an operational response by the FBI.

C.

An "advisory response" is a minimal FBI response during
which the FBI deploys FBI crisis management assets to
assist/advise the crisis response resources of the BOP.
At this level response, the FBI SAC or SAC's designee
will deploy as the FBI's on-scene coordinator. The FBI
will not deploy an FBI command and control element.

P.S. 5508.02
December 12, 1996
Attachment A, Page 2
D.

IV.

An operational response is defined as one during which
the FBI deploys significant FBI crisis management
resources, as necessary, to resolve the crisis. This
level response may consist of HRT deployment, and/or
multiple FBI field office SWAT teams, and/or crisis
negotiation/behavioral specialists and/or technical
personnel. An operational response will always be
accompanied by an FBI SAC or SAC's designee and an FBI
command and control element.

ADVANCE COORDINATION:
A.

BOP Wardens and FBI SACs will develop a program to
exchange information concerning each BOP facility
within a field division's territory. This program will
include the specifics of how joint operations will be
implemented, site surveys, appropriate interagency
training, and logistical support during a crisis
situation.

B.

BOP and FBI crisis response plans will be prepared by
executive management personnel at BOP facilities and
FBI field divisions to address specific crisis
management requirements at each BOP facility. The
crisis response plans will reflect the terms of this
MOU and be periodically updated.

V. IMPLEMENTATION: The decision as to whether FBI involvement
constitutes an advisory or operational response will be dependent
on the circumstances of the incident, the request from the BOP
On-Scene Commander and, as necessary, additional direction and/or
guidance from BOP and FBI Headquarters.
VI.

COMMAND, CONTROL, AND COORDINATION:
A.

In the event of an advisory response by the FBI, the
BOP On-Scene Commander will retain command and control
of all aspects of the crisis response. BOP
Headquarters will retain overall command and control of
the incident. The BOP On-Scene Commander will also
coordinate with the FBI and keep the FBI informed of
all developments. The FBI will have a person
designated to the BOP command post.

P.S. 5508.02
December 12, 1996
Attachment A, Page 3
1.

B.

C.

FBI advisors may be part of HRT, field SWAT,
crisis negotiators, behavioral specialists,
technical personnel, or other assets as agreed
upon by the FBI SAC or SAC's designee and BOP OnScene Commander.

In the event of an operational response by the FBI,
which will include an FBI On-Scene Commander and a
command and control element, the BOP and FBI On-Scene
Commanders will work cooperatively toward resolution of
the crisis. All actions of the FBI On-Scene Commander
will be closely coordinated with the BOP On-Scene
Commander who retains overall responsibility for the
institution operations and the incident.
1.

During an FBI operational response, the FBI and
BOP will immediately form a joint command post
upon the arrival of FBI crisis response resources.

2.

Once the FBI fully activates an operational
response at the scene, the FBI On-Scene Commander
will assume responsibility of all crisis
management assets (BOP and FBI) in terms of
planning for and executing plans for incident
resolution. The FBI On-Scene Commander will
consult and coordinate with the BOP On-Scene
Commander who retains overall responsibility for
the institution and the incident.

3.

BOP and FBI Headquarters command centers will
establish a direct link throughout the duration of
the incident to exchange information and to
address issues of mutual concern as they arise.
Issues that cannot be resolved at the scene of the
incident or at the command center level will be
addressed at headquarters level by senior BOP and
FBI staff.

The FBI On-Scene Commander, in consultation with the
BOP On-Scene Commander, may initiate an emergency
assault should there be imminent threats to life or of
serious injury to hostages, inmates, or law enforcement
personnel. In all other circumstances, no planned
tactical resolution will be initiated without prior
specific approval from both BOP and FBI Headquarters.

P.S. 5508.02
December 12, 1996
Attachment A, Page 4
D.

The FBI On-Scene Commander will conduct additional
criminal investigation following the resolution of the
incident, including crime scene investigation, if
appropriate. Debriefings of all officials involved are
required and will be accomplished as soon as possible
after the resolution of the incident and will be
coordinated through the FBI On-Scene Commander. This
requirement does not supersede the BOP's policy
regarding post incident interviews and investigation.

VII. TERMS OF AGREEMENT: This MOU will take effect immediately
upon signature of all parties.
For the Federal Bureau of Investigation:
\SIGNED\
LOUIS J. FREEH
Director

\10-25-96\
Date

For the Federal Bureau of Prisons:
\SIGNED\
KATHLEEN M. HAWK
Director

\10-24-96\
Date


U.S. Department of Justice
Federal Bureau of Prisons

OPI: CPD
NUMBER: 5230.05
DATE: November 4, 1996
SUBJECT: Grooming

1. [POLICY §551.1. The Bureau of Prisons permits an inmate to
select the hair style of personal choice, and expects personal
cleanliness and dress in keeping with standards of good grooming
and the security, good order, and discipline of the institution.]
2. PROGRAM OBJECTIVES.
are:

The expected results of this program

a. Inmates will maintain appropriate standards of grooming,
bathing, and clothing.
b. Articles necessary to maintain personal hygiene will be
provided to inmates.
c. Inmates with beards will be required to wear beard
coverings when working in food service or where a beard could
likely result in a work injury.
3.

DIRECTIVES AFFECTED
a.

Directive Rescinded
PS 5230.04

b.

Grooming (10/01/90)

Directive Referenced
PS 1600.07
PS 4700.03
PS 6000.05

Occupational Safety and Environmental Health
(05/30/96)
Food Service Manual (10/07/96)
Health Services Manual (09/15/96)

c. Rules cited in this Program Statement are contained in 28
CFR 551.1-7.

[Bracketed Bold - Rules]
Regular Type - Implementing Information

P.S. 5230.05
November 4, 1996
Page 2
4.

STANDARDS REFERENCED

a. American Correctional Association 3rd Edition Standards for
Adult Correctional Institutions: 3-4134, 3-4188, 3-4270, 3-4322,
3-4324, 3-4325.
b. American Correctional Association 3rd Edition Standards for
Adult Local Detention Facilities: 3-ALDF: 2C-10, 3D-13, 3D-14,
3E-10, 4D-12, 4D-13.
c. American Correctional Association Foundation/Core Standards
for Adult Correctional Institutions: FC2-4069, C2-4102, C2-4103,
C2-4131, C2-4133, C2-4170.
d. American Correctional Association Foundation/Core Standards
for Adult Local Detention Facilities: C2-5146, C2-5147, C2-5170,
C2-5171, C2-5172, C2-5173.
e. American Correctional Association 2nd Edition Standards for
the Administration of Correctional Agencies: 2-CO-4D-01.
5. PRETRIAL/HOLDOVER PROCEDURES. Procedures required in this
Program Statement are applicable to pretrial and holdover
inmates.
6. [MUSTACHES AND BEARDS §551.2 An inmate may wear a mustache
or beard or both. The Warden shall require an inmate with a
beard to wear a beard covering when working in food service or
where a beard could result in increased likelihood of work
injury.]
7. [HAIRPIECES §551.3 Inmates may not wear wigs or artificial
hairpieces, unless medical authorization to do so is approved by
the Warden.]
[HAIR LENGTH §551.4

8.

a. The Warden may not restrict hair length if the inmate keeps
it neat and clean.]
An inmate may have a shaved head or long hair.
[b. The Warden shall require an inmate with long hair to wear
a cap or hair net when working in food service or where long hair
could result in increased likelihood of work injury.
c. The Warden shall make available to an inmate hair care
services which comply with applicable health and sanitation
requirements.]
Where practicable, hair is to be cut in a room or rooms
specifically designated for that purpose. A multi-purpose area
may be used where this is not practicable. Hair cutting shall be
done in an area that permits observation by staff. Equipment

P.S. 5230.05
November 4, 1996
Page 3
must to be stored securely when not in use. A current inventory
of hair cutting equipment shall be maintained.
9. [RESTRICTIONS AND EXCEPTIONS §551.5. The Warden may impose
restrictions or exceptions for documented medical reasons.]
10. [PERSONAL HYGIENE §551.6 The Warden shall make available to
an inmate those articles necessary for maintaining personal
hygiene.]
Examples of articles to be available would include:
P
P
P
P
P

soap,
toothbrush,
toothpaste or powder,
comb, and
toilet paper.

For women, products for female hygiene needs shall be available.
Shaving equipment is to be available upon request.
The admission process at each institution is to ensure that such
items are available to newly admitted inmates.
11. [BATHING AND CLOTHING §551.7 Each inmate must observe the
standards concerning bathing and clothing that exist in the
institution as required by standards of §551.1.]
28 CFR 551.1 refers to Section 1 of this Program Statement.
12. OPERATIONAL REVIEWS. Unless otherwise directed by the
Warden, Correctional Services shall conduct Operational Reviews
of the provisions of this Program Statement.

\s\
Kathleen M. Hawk
Director


U.S. Department of Justice
Federal Bureau of Prisons

OPI: HSD
NUMBER: 6311.04
DATE: March 21, 1996
SUBJECT: Plastic Surgery and
Identification Records
RULES EFFECTIVE DATE: April 25, 1996
1. [PURPOSE AND SCOPE ยง 549.50. The Bureau of Prisons does not
ordinarily perform plastic surgery on inmates to correct
preexisting disfigurements (including tattoos) on any part of the
body. In circumstances where plastic surgery is a component of a
presently medically necessary standard of treatment (for example,
part of the treatment for facial lacerations or for mastectomies
due to cancer) or it is necessary for the good order and security
of the institution, the necessary surgery may be performed.]
"Presently medically necessary" is defined in Chapter 1,
Section 1 of the Health Services Manual.
2. PROGRAM OBJECTIVES.
are:

The expected results of this program

a. Plastic surgery will be performed on an inmate only when
it is a component of a presently medically necessary standard of
treatment or necessary for the good order and security of the
institution.
b. Any changes in an inmate's appearance that results from
plastic surgery will be photographed and otherwise documented in
appropriate files.
3.

DIRECTIVES AFFECTED
a.

Directive Rescinded
P.S. 6311.03

b.

Plastic Surgery and Identification Records
(11/20/95)

Directive Referenced
P.S. 6000.04

Health Services Manual (12/15/94)

[Bracketed Bold - Rules]
Regular Type - Implementing Information

P.S. 6311.04
March 21, 1996
Page 2
c. Rules cited in this Program Statement are contained in 28
CFR 549.50-52.
4.

STANDARD REFERENCED

American Correctional Association 3rd Editions Standards for
Adult Correctional Institutions: 3-4359
5. [APPROVAL PROCEDURES ยง549.51. The Clinical Director shall
consider individually any request from an inmate or a BOP medical
consultant.
a. In circumstances where plastic surgery is a component of
the presently medically necessary standard of treatment, the
Clinical Director shall forward the surgery request to the Office
of Medical Designations and Transportation for approval.]
Examples of when plastic surgery is a component of the
presently medically necessary standard of treatment are: the
emergency repair of lacerations (e.g., facial lacerations,
lacerations secondary to trauma), and when reconstructive surgery
follows standard surgical procedures (e.g., reconstructive
surgery following mastectomies due to cancer, etc.).
[b. If the Clinical Director recommends plastic surgery for
the good order and security of the institution, the request for
plastic surgery authorization will be forwarded to the Warden for
initial approval. The Warden will forward the request through
the Regional Director to the Medical Director. The Medical
Director shall have the final authority to approve or deny this
type of plastic surgery request.]
An example of when plastic surgery would be recommended for the
good order and security of the institution is: plastic surgery
necessary in order to help conceal the identity of WITSEC inmates
(e.g., tattoo removal, etc.).
[c. If the Clinical Director is unable to determine whether
the plastic surgery qualifies as a component of presently
medically necessary standard of treatment, the Clinical Director
may forward the request to the Medical Director for a final
determination in accordance with the provisions of paragraph (b)
of this section.]
d. The inmate's unit team shall be notified before any
arrangements or promises are made for plastic surgery. The
inmate's unit team shall consider the impact of the impending
plastic surgery on unit documentation.
e. The Inmate Systems Manager (ISM) shall be notified prior to
surgery so that photographs can be taken of the involved part
before and after surgery for the purpose of identification. The
Health Services Unit shall notify the inmate's unit team and the

P.S. 6311.04
March 21, 1996
Page 3
ISM when such surgery has been completed. The ISM shall make
appropriate notations in the inmate's record reflecting the fact
that surgery altering the inmate's physical features has been
performed.
6. [INFORMED CONSENT ยง 549.52. Approved plastic surgery
procedures may not be performed without the informed consent of
the inmate involved.]

\s\
Kathleen M. Hawk
Director


U.S. Department of Justice
Federal Bureau of Prisons

OPI: OGC
NUMBER: 1350.01
DATE: January 11, 1996
SUBJECT: Criminal Matter Referrals

1. PURPOSE AND SCOPE. To provide procedures for tracking and
referring matters for prosecution that occur in Bureau of Prisons
facilities or on Bureau of Prisons property, or involve Bureau of
Prisons staff.
2. PROGRAM OBJECTIVES.
are:

The expected results of this program

a. All criminal matters that occur in an institution or on
institution grounds, or that involve Bureau of Prisons staff,
will be documented and tracked.
b. Each criminal matter will be formally considered for
referral to an appropriate law enforcement agency.
c. When a Warden disagrees with a U. S. Attorney's Office
decision to decline prosecution on a referred criminal matter, it
will be reviewed for possible formal re-presentation to the U. S.
Attorney.
d. If, upon re-presentation of a criminal matter, the U. S.
Attorney still does not concur with the Bureau's assessment, the
matter will be reviewed by the General Counsel's Office for
further action.
3.

DIRECTIVES REFERENCED
P.S. 1380.05

4.

Special Investigative Supervisors Manual
(08/01/95)

STANDARDS REFERENCED.

None.

5. REFERRAL OF CRIMINAL MATTERS. All criminal matters that
occur in an institution or on institution grounds, or that
involve Bureau of Prisons staff, shall be tracked as described in
Section 7 below.

P.S. 1350.01
January 11, 1996
Page 2
The Special Investigative Supervisor (SIS) shall present each
criminal matter to the Warden to determine whether it is to be
referred to the appropriate Federal, state, or local law
enforcement agency. The SIS or the Warden may consult with
institution legal staff regarding the criminal matter prior to
the referral.
6. NOTIFICATION TO LEGAL STAFF. When a case is referred to a
Federal, state, or local investigative agency for prosecution,
the SIS shall notify the institution legal staff, or the Regional
Counsel's Office if no legal staff are assigned to that
institution.
Legal staff shall follow any case referred to ensure all
prosecutions are timely.
When a criminal case is referred to the U. S. Attorney's Office
for prosecution, the SIS shall notify the institution legal staff
and the Warden as to whether the case was accepted or declined.
When a referral is declined, the Warden shall notify the Regional
Counsel's Office, and, if the Warden disagrees with the decision
to decline, shall provide a summary of the case to the Regional
Counsel with a recommendation for re-presentation of the case to
the U. S. Attorney.
The Regional Counsel shall review and discuss the matter, the
reasons for the declination, and the Warden's recommendation with
appropriate officials (including if necessary, the Warden,
Regional Director, institution legal staff, law enforcement case
agent, appropriate U. S. Attorney's Office staff, and the General
Counsel).
If, after such discussions, the Bureau believes prosecution is
appropriate, the Regional Counsel shall make a formal representation of the criminal matter to the U. S. Attorney. If
the U. S. Attorney still does not concur with the Bureau's
assessment, the matter shall be referred to the Office of General
Counsel for further action.
7. REPORTING AND TRACKING. Effective upon receipt of this
Program Statement, all institution SIS's are required to record
and report to institution legal staff criminal matters that are
appropriate for referral to law enforcement agencies.
Institutional legal staff shall track all referrals.

\s\
Kathleen M. Hawk
Director


U.S. Department of Justice
Federal Bureau of Prisons

OPI: FPI/Educ
NUMBER: 5355.03
DATE: January 20, 1995
SUBJECT: Parenting Program Standards

1. PURPOSE AND SCOPE. To provide standards for parenting
programs in all institutions.
Beginning in 1986, the United States Congressional appropriations
conference reports for the Bureau included recommended parenting
program funding levels. Initially, funding was provided at four
female institutions and subsequently at all female institutions
and at least one male institution in each BOP region. Conference
reports also identified appropriate visiting room space, parent
education, social service outreach, and community based service
providers as desirable parenting program characteristics. This
Program Statement expands such programs to all institutions.
2. PROGRAM OBJECTIVES.
are:

The expected results of this program

a. Positive relationships, family values, and mutual support
and nurturing, which may be sustained after release, will be
promoted and reinforced among inmates and their spouses and
children.
b. Each inmate will have opportunities to counteract negative
family consequences resulting from his/her incarceration.
c. The institutional social environment will be improved
through opportunities for inmates to maintain positive and
sustaining contacts with their families.
d. Social service and community based organizations will be
included in parenting programs whenever possible.
3.

DIRECTIVES AFFECTED
a.

Directive Rescinded
P.S. 5355.02

Parenting Program Standards (09/23/93)

P.S. 5355.03
January 20, 1995
Page 2
b.

Directives Referenced
P.S. 1210.14
P.S. 1221.60
P.S. 4100.02
P.S. 5267.05
P.S. 5300.15
P.S. 5300.16
P.S. 5310.12

Management Control and Program Review
(10/03/94)
Directives Management Manual (11/21/94)
BOP Acquisitions (05/03/89)
Visiting Regulations (07/21/93)
Education, Training and Leisure Time Program
Standards (12/16/93)
Volunteers and Citizen Participation Programs
(10/14/94)
Psychology Services Manual (08/30/93)

Federal Acquisition Regulations
4.

STANDARDS REFERENCED

a. American Correctional Association Foundation/Core Standards
for Adult Correctional Institutions: FC2-4098, C2-4168, C2-4237,
C2-4248;
b. American Correctional Association 3rd. Edition Standards
for Adult Correctional Institutions: 3-4380, 3-4382, 3-4387, 34388, 3-4421;
c. American Correctional Association Foundation/Core Standards
for Adult Local Detention Facilities: C2-5254, C2-5255, C2-5258;
d. American Correctional Association 3rd. Edition Standards
for Adult Local Detention Facilities: 3-ALDF-4F-01, 4F-02, 4F04, and 4F-05.
5.

PROGRAM SCOPE

a. Parenting programs shall be established in all institutions
housing Federal prisoners.
b. The program shall be under the general guidance of the
Education Department, and a specific staff member in that
department shall be assigned to coordinate and monitor the
program. Cooperation and coordination between Education staff
and other departments shall be established, with specific
emphasis on building strong liaison with the Psychology Services
and Chaplaincy Departments. Parenting programs may be offered
during evening hours and/or weekends if local conditions warrant.
Any institution, which because of its special mission or
population requires a waiver from all or part(s) of this Program
Statement, shall seek a waiver in accordance with the Program
Statement, Directives Management Manual.
c. Parenting program funds shall be provided, whenever
available, through regional allocations for each institution.

P.S. 5355.03
January 20, 1995
Page 3
Funding levels shall be adequate to meet established standards
and to provide quality programs.
6.

PROGRAM STANDARDS.

All programs shall include the following:

a. Visiting Space. Space shall be provided for each program.
While separate space is preferred, if this is not possible, a
section of the institution's visiting room shall be reserved for
the parenting program. Institutions which designate separate
space for this program shall, when possible, establish visiting
hours coinciding with regular visiting room hours. Staff shall at
all times adhere to local visiting room policies and procedures.
b. Social Services. Wherever possible, social services
outreach contacts shall be established with community-based
social service organizations to facilitate the provision of
services to the inmate parent, visiting custodial parent, and
children. Social services, as defined, are services provided to
promote and enhance human welfare. These services may include
assistance in such areas as veterans benefits, welfare support,
child care, health promotion and disease prevention, prenatal and
postnatal care, etc.
Program coordinators, in coordination with institution
volunteer coordinators, are encouraged to use community-based
volunteers and appropriate organizations, whenever possible.
These services may include, but are not limited to, such
organizations as: Boy/Girl Scouts, Boys and Girls Clubs of
America, Children's Television Workshop (CTW), Literacy
Volunteers of America (LVA), and local colleges and universities.
c. Parenting Education. A parenting education component, as
described in Section 7, shall be offered in each parenting
program.
7. PARENTING EDUCATION PROGRAM OUTLINE. The following is a
"recommended" program outline for the parenting education
component of the program.
a.

Parenting Skills

(1) Building or continuing family relationships while
incarcerated, including the use of community support systems;
(2) Accomplishing age-appropriate communication with
children during long periods of absence, including explaining a
parent's incarceration to children;
(3) Engaging in interactive play with children during
visiting;
(4) Recognizing and contributing to the stages of childhood
development, including proper nutrition;

P.S. 5355.03
January 20, 1995
Page 4
(5)

Administering appropriate and effective discipline;

(6)

Fostering self-esteem in children;

(7)

Participating in a child's education process;

(8) Preventing childhood injuries, including physical and
sexual abuse;
(9)

Dealing with sibling rivalry; and

(10) Identifying factors that indicate personal readiness
for parenthood, including knowledge of a positive environment for
children.
b.

Skills for Family Support

(1) Analyzing family needs and determining how those needs
can be met;
(2)

Managing a family budget;

(3) Developing skills to cope with change; increasing
stress management skills; and
(4) Setting priorities, and obtaining problem solving
techniques.
c.

Family Literacy Education

(1) Understanding the importance of raising the reading
levels of inmates, spouses, and their children;
(2) Motivating family interest in literacy, e.g., reading
to each other, watching and discussing interactive TV programs,
including the use of related reading materials;
(3) Organizing and developing a time frame to assist
children with reading, writing, homework, etc.;
(4)

Developing effective tutoring skills; and

(5) Compiling a list of education resources to assist in
family literacy for the inmate and family members while
incarcerated and after release.
d.

Substance Abuse Education

(1) Explaining the effects of parental use of addictive
substances on children;
(2)

Discussing components of the addictive personality;

P.S. 5355.03
January 20, 1995
Page 5

e.

(3)

Introducing strategies to break substance addiction;
and

(4)

Organizing support groups.

Prenatal Care Information for Expectant Mothers
(1)

Achieving and/or maintaining physical fitness;

(2)

Developing and/or maintaining a proper diet;

(3)

Evaluating childbirth procedure options; and

(4)

Providing appropriate infant care.

8. RECORD KEEPING. Each parenting program shall maintain
records to include the following information:
a. A full description of the program scope, including
room/child care center space provided, the names of social
services accessed, the service provided, and related information.
b. Amount of funds spent on the program during the fiscal year
including estimated value of "free services", overhead cost,
(estimated at 20%, if actual figures are not available), value of
BOP staff time, materials used, and related items.
c. Non-duplicated number of inmate parent enrollments and
completions in each structured parenting class, the number of
hours per week, the number of weeks per year, per enrollee, and
totals for the fiscal year.
d. Non-duplicated number of children involved in the program
and the number of hours of involvement per child per year, and
total for the fiscal year.
e. A copy of all curriculums used in parenting education and
related courses.
Reports for each fiscal year (Attachment A) shall be included in
the education annual report and provided to the Central Office
and regional education administrators by January 30th of each
year.
9. NON-ENGLISH-PROFICIENT INMATES. In the administration and
implementation of this Program Statement, and in accordance with
the Program Statement on Education, Training and Leisure Time
Program Standards, efforts shall be made to meet the needs of
non-English-proficient inmates and their visiting spouses and
children.

P.S. 5355.03
January 20, 1995
Page 6
10. SERVICE PROVIDERS. The method for providing parenting
program services, as specifically adapted to each institution,
are at each institution's discretion, either through services
provided by incumbent full-time staff, through procurement
procedures, or a combination of both. Community-based non-profit
organizations shall be given consideration as service providers.
11. PROCUREMENT PROCEDURES. The scope of work used in requests
for proposals for parenting programs shall specify all the
relevant required standards outlined in this Program Statement.
A sample statement of work (SOW) is provided (Attachment B).
12. EVALUATION. The Program Review Division shall monitor
compliance with this Program Statement during regularly scheduled
program reviews.

\s\
Kathleen M. Hawk
Director

P.S. 5355.03
January 20, 1995
Attachment A, Page 1
Annual Education Program Report
Institution: __________________
Parenting Program Report - FY ____
Who administers the program? (Mark one)
NON BOP
BOP
SVC PROVIDER ____
INSTITUTION ____

A COMBINATION
OF BOTH ____

If you marked "NON-BOP" or "BOTH", please provide the following
information:
ORGANIZATION'S NAME ADDRESS &
HRS PER YEAR
AMT PAID TO
TELEPHONE
FROM CONTRACT PROVIDER

3. Visiting Room/Child Care Center:
LOCATION
SPACE: SQ FT

# OF HOURS
OF OP

TIME OF

COST
PER HR

DAYS PER

Other Information:

(This form may be locally reproduced or duplicated via Wordprocessing)

P.S. 5355.03
January 20, 1995
Attachment A, Page 2
Annual Education Program Report
Institution: __________________
Please list any Social Services provided:
NAME OF AGENCY

SERVICE PROVIDED

COST

FREE

Please Provide Estimated Value of Total Services for the Parenting
Program For the Fiscal Year (Actual Fees, Value of "Free" Services and
Overhead).
$ _____________________
Number of Parents and Children (Non-duplicated) involved in the program
and hours of involvement:
(VISITING ROOM ACTIVITIES)
PARTICIPANTS

NUMBER OF
PARTICIPANTS

AVG #
HRS/WK

(STRUCTURED CLASSES)
AVG #
HRS/YR

TOTAL # OF
PARTICIPANTS

# OF
HRS/WK

# OF
HRS/YR

INMATE PARENTS
VISITING
CUSTODIAL
PARENT
CHILDREN
Curriculum materials have been developed and are provided along with
this report for the following Parenting Education Courses:
1.
2.
3.
4.
5.
6.
7.

P.S. 5355.03
January 20, 1995
Attachment B, Page 1
Sample Statement of Work for a Parenting Program
1.

The

, intends to make an award
(Name of Institution)

for parenting program services which meet the requirements
of this solicitation.
2.

The contractor shall make available, on a non-discriminatory
basis, parenting program services consistent with
requirements of this solicitation, the rules and procedures
of the
, and all applicable
(Name of Institution)

federal and state laws and requirements in effect during the
term of this contract.
The manner and the method in performing the tasks outlined
in the statement of work are within the sole discretion of
the Contractor who shall perform in accordance with
professional standards and methods as outlined in the Bureau
of Prisons Parenting Policy Statement. The Bureau of
Prisons has the sole discretion to determine the
contractor's compliance with the contract.
3.

The Contractor shall provide a program which meets the
following standards:
a.

The program shall support the development and
maintenance of positive relationships between inmates,
their spouses or custodial parents, and their children.

b.

In space provided by

the
(Name of Institution)

Contractor shall structure programs which provide an
opportunity for inmate parents, visiting spouses or
custodial parents and children to interact in ways
designed to strengthen family relationships.
c.

The Contractor shall provide appropriate furniture,
education-oriented toys, books and other materials and
activities designed to establish and strengthen
positive family parenting relationships. The
contractor is responsible for any injury caused by
these materials.

d.

The Contractor shall provide structured parenting
education courses to inmates and parents and, when
feasible, to visiting spouses of custodial parents.
These courses will be in addition to those ordinarily
offered by the institution. The curriculum shall
address the following subject areas:
(1)

Parenting Skills:

building family relationships,

P.S. 5355.03
January 20, 1995
Attachment B, Page 2
sensitivity to the impact of a parent's
incarceration on children and family members, how
to assist in childhood development and related
activities;

4.

(2)

Skills for Family Support: analyzing and meeting
the need of families, including job search and
retention skills, family budgets, stress
management, problem solving and setting
priorities.

(3)

Family Literacy Education: raising the literacy
level of the inmate and corresponding family
members;

(4)

Substance Abuse Education: addressing the effect
of substance abuse, its impact on children and
family members and strategies to break substance
addiction; and

(5)

Prenatal Care for Expectant Mothers: addressing
how to achieve and maintain physical fitness, the
development and maintenance of proper diets, how
to evaluate different child birth procedures
options and appropriate infant care.

The Contractor shall be required to maintain records on
parenting programs which show the following:
a.

Expenditures during the course of the contract year;

b.

Number of inmate parent non-duplicated enrollments and
completions in structured parenting classes; the number
of hours per week and the number of weeks per year, per
enrollee, and totals fos the contract year;

c.

The number of children, non-duplicated, involved in the
program and the number of hours of involvement of each
child per year and the total for the contract year;

d.

The number of, non-duplicated, visiting spouses or
custodial parents, in visiting room parenting
activities, per week, the number of hours per week of
their activities, and the total for the contract year;

e.

A copy of all curriculums used in parenting education
and related courses; and

f.

A full description of the scope of the program,
including the numbers of volunteers and their
affiliation, if any, the names of social services
accessed, costs, if any, services provided, and related
information.

P.S. 5355.03
January 20, 1995
Attachment B, Page 3
5.

The Contractor shall undertake outreach efforts with
community-based social service agencies to identify and to
facilitate the provision of needed services to the inmate
parent, visiting spouse or custodial parent, and children.
These services should include, for example, assistance in
such areas as, veterans benefits, welfare support, child
care services, health promotion and disease prevention
services, prenatal and postnatal care, etc.

6.

The Contractor shall identify and facilitate the use of
community-based volunteers and the free services of such
organizations as Boy/Girl Scouts, Children's Television
Workshop (CTW), Literacy Volunteers of America (LVA) and
such other organizations which make available volunteer and
free services. All volunteers are subject to the minimum
security and training standards as outlined in P.S. 3000.02,
Human Resource Management Manual, and P.S. 5300.14,
Volunteers, Involvement in Programs.

7.

The Contractor must provide no less than 15 hours of
supervised visiting room activities and 6 hours of parenting
education classes per week for a period of 44 weeks. Class
hours shall be established after appropriate discussion and
coordination with institution staff. The contractor's
performance should be contingent upon continued inmate
participation in parenting programs, and it will not be
compensated if the only participants are outside
individuals.

8.

Total participation during the contract period is estimated
as follows:
Inmates
100
Visiting Spouses or Custodial Parents
100
Visiting Children
125

9.

The Contractor shall provide at least one full-time and one
part-time on-site position to fulfill the requirements of
the contract. These staff members will act as the
coordinator/ recruiter/aide and shall be responsible for the
implementation and maintenance of the total parenting
program. Their responsibilities shall include recruiting
program activities, establishing and coordinating program
activities and structured classes, developing course
curriculums, develoqing and coordinating linkages with
community-based social service agencies and volunteer
organizations, and the maintenance and provision to the
institution of all records and required reports associated
with the implementation of the parenting program.

10.

The institution Supervisor of Education and appropriate
institution procurement staff shall ensure compliance by the
contractor with all provisions of the contract governing
parenting programs.