0 To mitigate this risk, BOP would benefit from a staffing methodology that better communicates the complexities and nuances of staffing federal institutions to external entities. Rosters and Scheduling at BOP After reviewing the staffing guidelines to determine the correct number of Correctional Officers needed, an institution ensures that all posts (spaces that require COs) have coverage through the roster process. Rosters are created once a quarter and must account for posts that require 24-hour coverage, generally within the constraints of 8-hour shift schedules. While BOP has taken steps to standardize and automate this arduous process, it still requires manual updates which can result in human error. The development of a roster (with associated timelines) can be seen below. 7 Wino Awn Antes Awn • Etlar* roster posted publicly to notify staff o' all assignments. days off. and shifts available fi fil0 Committee roster posted. e lo. Correctional officers have cor tiona Officer, tabmit I week to submit preferences for shifts. posts and complaints days off and submit to Capcayi Compressed scheduling is common in other non-stop settings. Hospitals require 24/7 staffing like BOP institutions and successfully use 12-hour shifts to optimize their scheduling. ROSTER DEVELOPMENT PROCESS S wens Awn a NM) Awn )Week, Away l wen Awn S Roster corny:tee resolves complaints and sends the final roster to the warden foe approval • Final roster posted I Wen Awn 0 wens Awn Roster Implemented Figure 11 The roster development process spans seven weeks. A blank roster is posted to show available shifts, days off, and assignments available. Correctional Officers have one week to submit their post preferences to the Captain tasked with creating it. Seniority determines which preferences are honored first. If Correctional Officers want to dispute the schedule, they have one week to submit complaints. The final roster is sent to the Warden to be approved and posted three weeks prior to its implementation. This new software automates previous manual tasks and improves efficiencies in several ways. First, the system enables Correctional Officers to sign up for their quarterly preferences and generates a 'best guess' of their schedule. Second, the system improves on the current system by validating whether a Correctional Officer is qualified for the post they are assigned to. Third, it automates the form that needs to be completed each time a staff member is assigned an overtime shift by pre-filling the form and enabling someone to save it before completion. While the system offers improvements over previous versions, it still has several limitations. Since personnel data is pulled from payroll data, new hires and transfers do not automatically appear on the daily roster until their first paycheck. The system does not currently incorporate upcoming staff trainings when developing daily rosters. Finally, the software is not integrated with WebTA, requiring a Time and Attendance clerk to manually track the time each Correctional Officer works and then enter it into their Time and Attendance system. 27 EFTA00141395

Union Considerations The roster system is limited according to the Master Agreement which articulates a standard workweek consisting of 5 consecutive workdays with 8-hour shifts and an additional 30-minute, non-paid duty-free lunch break.d3 Requests for telework or compressed work schedules such as a 12-hour or 10-hour shift may be negotiated at the local level. Some local unions also have contractual limitations on augmentation while others do not, which can create an inconsistent employee experience and may have implications on mandatory overtime usage. Some local unions have utilized a compressed schedule. It would be beneficial to do a cost-benefit analysis to uncover the most favorable schedule while considering the Master Agreement. Strengths of Scheduling The current roster and scheduling process provides ample time for Correctional Officers to input preferences and file complaints before the roster is finalized. The roster is posted three weeks before it is implemented, providing transparency and predictability around Correctional Officer's work schedules. The new roster system will allow for more automation than the current system and house roster data in a centralized location, enabling easier reporting and oversight. The system also shows the certificates and skillsets of each staff member, validating their qualifications for specific shifts. While the new system has taken steps towards easier and more accurate scheduling, there are risks that come alongside it. Risks and Challenges of Scheduling Challenge: More shift transitions are required using the standard 8-hour shift schedule, which may result in increased mandatory OT and a reduction of days off for staff One participant stated that the mindset of some staff on 12-hour shifts is: "We do them for an emergency. If it works for that, why not always do it?" Rosters also utilize an 8-hour shift schedule that results not only in a greater number of shift transitions, but a reduced number of available days off for Correctional Officers. Frequent shift changes create a risk of delayed or missed communication between staff and departments. A compressed shift schedule might free up days during the week that would allow Correctional Officers to take care of their responsibilities outside of work and as a result reduce the amount of sick time they take. U Master Agreement Between Federal Bureau of Prisons and Council of Prison Locals. https://www.afge.org/globalassets/documents/cbas/bop- 2014_new_master_agreement-with_revisions_06-23-2014.pdf. 28 EFTA00141396

BOP Staff Leave Breakout 100% 90% 80% 70% 60% 50% 40% 30% 20% 10% 0% 30% 2019 30% 33% 2020 2021 ■ Office of Workers Compensation (Injury) ■ Weather ■ Absent Without Pay ■ Leave Without Pay ■ Training ■ Sick ■ Annual Figure 12 Figure 12 illustrates the various types of leave used per year. Sick leave has increased from 2020 to 2021— while it is important to note that the recent increase could be a result of C0VID-19, sick leave has made up a significant portion of the total leave taken in the last 3 years, second only to annual leave. Challenge: Manual entry of changes to staff schedules in current roster system increases risk of human error The new web-based roster system attempts to alleviate the issues with the existing roster system, yet it does not incorporate all relevant staffing constraints. The system set to deploy does not show transfers until their first pay period, which may cause a delay in their ability to sign up for shifts and be accurately included in the roster. In these situations, local HR staff can manually enter the information, but must be aware of the risks of duplicate entries or inaccurate personnel data. The new system does not incorporate upcoming constraints like scheduled trainings or alleviate the need for a manual time and attendance process. It also is not fully integrated with other systems and processes such as time and attendance, and the staffing guidelines. Overtime and Augmentation Usage 29 EFTA00141397

The daily availability of existing staff is subject to staff call outs, training, and military duties. To mitigate staff shortages related to these issues, BOP uses overtime and augmentation." Augmentation is the temporary reassignment of a non-custody staff member (i.e., teacher) to a custody post. As previously stated, BOP requires all staff members to go through Correctional training, as all institutional staff are required to perform Correctional duties on a regular and reoccurring basis, including assuming Correctional Officer posts when necessary. Overtime is time worked beyond one's scheduled working hours. The usage of these methods has been increasing over time while the staff levels have only fluctuated by +/- 5%. An institution's vacancy level is not a perfect indication of their staffing need. For example, institutions could be staffed at near zero vacancy but report increasing overtime and augmentation because the current staffing formula struggles to provide BOP ample staffing for their needs. While these methods can be used short-term to cover staffing shortages, more research is recommended to understand the impacts of extended use on staff burn out, increased budgetary risk, and employee performance. Figure 13 shows the trend of average amount of augmentation and overtime hours per staff over 4 years. Average Augmentation Hours per Staff 15 in 10 7 5 10 10 14 2017 2018 2019 2020 Fiscal Year Figure I3: The overage augmentation hours per staff may be underrepresented to inconsistent use of the augmentation tracking (T&A) code The figures above illustrate that overtime and augmentation has increased exponentially over the last 4-years in relation to the total number of staff on board. Figure 14 shows a similar trend as Figure 7 broken out by region. All regions have increased their augmentation usage since 2017 with North Central, South East, and Western regions experiencing the highest increase. Similarly, all regions have seen an increase in overtime usage with South Central (SCR), South East (SER), and Western (WXR) regions requiring the most overtime. .“ United States Government Accountability Report No. GAO-21-123. 2021. 30 EFTA00141398

BI 0 4? Average Augmentation Hours per Staff by Region 20 15 g 10 5 ■ 2017 ■ 2018 ■ 2019 ■ 2020 MXR NCR NER SCR SER WXR Region Figure 14 Average Overtime Hours per Staff by Region 300 250 200 3 150 100 50 Mal MXR NCR NER SCR SER WXR Region ■ 2017 ■ 2018 ■ 2019 ■ 2020 One of the advantages of BOP using augmentation and overtime to address staffing shortages is that it can be done quickly by reallocating existing staff. Additionally, staff members who volunteer for overtime shifts receive supplemental income. It is important to evaluate the effects increased augmentation and overtime usage may have on staff performance and burnout. For instance, 33 focus group participants cited augmentation as a primary driver of staff burnout. Participants also mentioned that being augmented detracts from their ability to complete their primary responsibilities, negatively impacts program implementation, and makes them feel less safe. As cited in the GAO report, it is recommended that BOP create metrics to assess risks associated with the increase in overtime and augmentation.4s In the next phase of work, the Deloitte team will dive deeper into analyzing such risks associated with the increase usage. The analysis will include finding correlations between the metrics such as the number of incidents, staff-to-inmate assaults, and inmate-to-staff assaults with increased usage of overtime. " United States Government Accountability Report No. GAO-21-123. 2021. 31 EFTA00141399

Retain: Minimize Staff Attrition Retention Incentives The last stage in the employee lifecycle is retention. Forbes estimated in 2019 that employee turnover cost organizations 33% of an employee's annual salary.d6 Exploring the main drivers of staff attrition, along with projected attrition rates, will provide a more holistic view of how BOP can address understaffing. The Bureau faces the following challenges related to retention of staff: • BOP's compensation and retention incentives require additional analysis to understand effectiveness compared to market standards • Negative media has affected officers' sense of pride, both internally and externally BOP's challenges in retention have been noted frequently, such as in a 2016 OIG review that discovered retention obstacles in the medical field, "in large part because it competes with private employers that offer higher pay and benefits, and because the BOP does not identify or address its recruiting challenges in a strategic manner or take full advantage of staffing flexibilities such as those available through the U.S. Public Health Service."47 Focus group participants also reiterated the issue of low compensation, while the Bureau's exit survey data provided additional reasons for the decreasing attrition rate. Exit Survey Data Staff are asked to complete an exit survey when they leave the Bureau to share why they are separating from the Bureau and what they feel can be improved. According to the GAO report, "BOP officials responsible for overseeing the survey told us that while they provide the exit survey data to institutions, they do not track or analyze how, if at all, institutions make use of this information.""e Between 2016 and 2020, the top three reasons for leaving BOP were voluntary retirement, transferring to another government agency, and mandatory retirement. As Figure 15 demonstrates, a third of exit survey respondents indicated their choice to leave was due to an unreasonable workload and lack of resources to properly do their job, while another third reported a lack of opportunities for advancement. Correctional Officer turnover saw an increase from 2019 to 2020 and 17% of new hires across all departments left the Bureau in 2020. "Forbes, The Cost of Turnover Can Kill Your Business and Make Things Less Fun. https://www.forbes.com/sites/johnhall/2019/05/09/the-cost-of-tumover-can- kill-your-business-and-make-things-less-fun. " Department of Justice 2021 Financial Report. 2021. CS United States Government Accountability Report No. GAO-21-123.2021. *It is important to note that completing the exit survey is voluntary and responses do not represent the entire BOP population. 32 EFTA00141400

BOP Staff Reasons for Exiting (1016-1020) irl• IA riltrotts to 6, /*WOO, AritneWn tcov, ,A n. Figure 15: Exit Survey Doto (2016.2020) Currently, responses received from exit surveys could be utilized better to compare to compensation offered to staff as well as the organization's use of retention incentives and their effectiveness. Analyzing exit survey responses could also enable the Bureau to develop interventions that positively impact employee experience and retention. Strengths of Retention Focus group participants were asked to identify what they loved about working at BOP, and cited employment benefits, their teammates, and an opportunity to grow in their career. Benefits highlighted by participants include early retirement, pension and paid sick days.S9 According to field research, employees that realize the long-term benefits of BOP (e.g., early retirement eligibility) tend to stick around. Fulfilling the mission of BOP and the reward of helping inmates was also cited as an incentive to stay. Risks and Challenges of Retention Challenge: BOP's compensation and retention incentives require additional analysis to understand effectiveness compared to market standards Challenges in retention at BOP have been expressed anecdotally through reasons such as: remote location, job-competition in more populated areas, an unpredictable schedule, and lower compensation. Field research indicated that federal institutions face competition in hiring and retention from state institutions and other region-specific work such as oil refineries in Texas-based institutions. The competition between jobs is highest in more populated areas, while the challenge of keeping employees in more remote areas was attributed by field research participants to a lack of access to outside entertainment, stores, good school systems, and ways staff can spend their free time. For example, a staff member that joined the institution as a young adult may want to relocate to an institution in a more populated area once they have started a family. However, there has been little analysis of organizational data to determine if these are the true reasons for difficulty in retaining staff. Field research participants also commented that state prisons offer better compensation and an easier schedule, as well as frustrations that BOP's GS-levels were not compatible with fellow agencies. Non-custody roles also struggle with retention, being (e.g., medical staff who are offered higher pay at nearby hospitals). BOP can potentially combat hiring competition through data analysis to confirm their GS-levels and aligning wages are on par with similar positions at other law enforcement agencies. "One of the most rewarding parts of the job is the ability to help inmates get their lives on track." - Focus Group Participant "The term "early retirement" is about the retirement age for law enforcement personnel at age SO rather than age 62 for other civil service workers. 33 EFTA00141401

At present, the most utilized option for retaining staff has been in the form of incentives. Conducting an analysis of performance metrics to see where BOP falls will allow the organization to determine if this current method is making a difference and establish steps for effective retention strategies. Since 2017, over 20,000 staff have received retention incentives across Bars six regions that have institutions, as observed in Figure 16. Retention incentives have been utilized most consistently by institutions in BOP's western region over that time span, with over 2,500 of the total 6,601 staff receiving retention incentives in 2021. This region covers more remote states, such as areas of California, who also face the challenge of salary competition with California Department of Corrections. BOP's investigation into whether the retention incentives are working in this region to curb attrition will aid in understanding if remote location is a driver of employee turnover, and if the funds are being provided to the region most in need. Number of BOP Staff Recieving Retention Incentives by Region 3000 2500 2030 ■ 2017 1.; 1500 ■ 2018 1000 • 2019 ■ 2020 S00 ■ 2021 0 MXR NCR NER SCR SER WXR Region Figure 16: Actual incentives are given at a local level rother than regional. According to Figure 17 and 18, the top positions that have received retention incentives include Correctional Officers and Registered Nurses. In 2020, over a third of Correctional Officers received retention incentives. Retention bonuses have been utilized to keep staff, especially if the employee has unique qualifications or the need for their services makes it essential to retain. In FY19, retention incentives cost BOP approximately $22 million. BOP is on track to assess the outcomes of the staffing incentives it utilizes by April 2022. 34 EFTA00141402

Top 10 Positions Recieving Retention Incentives 35% 30% 25% 20% 2017 g 15% • 2018 10% dillIlk • 2019 5% • 2020 0% IIIII Lill 11111 I iii.1 nth nth • 2021 SR OFFCER SR OFFaR REGISTERED 'HUMOR MID LEVEL CORRECTIONAL COOK FRAIN CORRECTIONAL CORRECTIONAL CASE MANAGER SPECWLIST 'CORRECTIONS NURSE PPACTTTIONER OFFICER IGS COUNSELOR SYS ONCE, 'CORRECTIONS 65.071 (CUMCALI 05/6) GSM Position Figure 17: These ore the reflection of the top positions receiving incentives across all institutions Top 10 Positions with Highest Retention Incentive Amount 7,000,000 6,000,000 5,000,000 o 4,000,000 .4 3,000,000 In 2,000,000 1,000,000 "Spli RACInONER lc:l S (CORl it/1 111 p !I tin G DRUG ABUSE PROG COORD CORRECTIONAL QUAL IMPRVAIT or FicER & INFECTOR 0616) CONE NURSE 5 00) Positions MINCE WRCR FRLUT • 2017 • 2018 • 2019 • 2020 • 2021 Figure 18: These ore the reflection of the top positions receiving the most incentive amount across all institutions Challenge: Negative media has affected officers' sense of pride, both internally and externally. Public perception of BOP contributes to the challenges of retention. More senior staff stated that a job in corrections is no longer seen as one of pride, but rather an organization surrounded by embarrassment. Focus groups discussed the often-negative press that comes out about the Bureau, how it impacts their morale, and contributes to understaffing. One group mentioned the way Hollywood portrays prison life and how it affects outsiders' view of their work. This outsider's idea of what working corrections is like misrepresents the true day- to-day work the role entails. Additionally, recent press regarding correctional facilities does not capture all the difficulties caused by the pandemic. COVID-19 has had a major impact on overtime and augmentation and placed a strain on staff, as shown 35 EFTA00141403

through many responses from the focus group when asked their "bugs" about working at BOP. With the implementation of COVID-19 housing units, officers needing to deliver meals, and inmate tensions rising from missing out on programs and visitations, many participants felt that their workload has doubled since the pandemic began. It is recommended that BOP consider taking time to combat negative media with positive staff stories internally and externally, which will likely aid in the recruiting and retaining of quality hires. BOP made strides in 2020 by completing a rebrand of their website and social media pages; the next step is to consider using these platforms to share and boost positive news regarding local institutions through Bureau-wide successes. Focus groups at one site visit were immensely proud of their Residential Drug Abuse Program (RDAP). An RDAP participant returned to that focus group's facility to speak on the program, how it helped him, and how it has affected his life.50 With 20 years of RDAP, stories such as these could be highlighted, in addition to instances where staff are recognized for their achievements. For example, a staff member at FCI Edgefield was awarded the Attorney General's Award for Excellence.S1 When considering retention for hard-to-fill positions, particularly those in the medical department, it is important to highlight their successes. At FCC Butner, the comparison to their medical availability versus that of a civilian hospital was shared with pride. One interviewee explained, "The FCC Butner hospital is incredible high performing because the tumor board meetings are faster, and patients get a better level of care than they might in the outside world in which they might not be able to afford it and doctors are pressed to see more patients." Sharing inmate and staff success stories shows the public that BOP has a desire to recruit while underscoring organizational values. "RDAP here is better than any substance abuse program anywhere in the country." - Focus Group Participant It is recommended that BOP build upon the positive momentum of their newly revamped website and social media presence to amplify positive messaging internally and externally, highlight positive societal impact, and focus on reestablishing Correctional Officers' pride in their profession. Department of Justice. https://reentry.ojp.gcniltestimonials/rdap-lessons-success. Bureau of Prisons. https://www.bop.goviresourcesinews/20201109_ag_awards.jsp. 36 EFTA00141404

Recommendations Recommendations Overview The following recommendations fall on a matrix in order of priority by impact and urgency to address BOP's greatest risks to staffing (Figure 19). Impact is defined as defined as the magnitude of the recommendation's benefit for BOP employees. Urgency is the extent of the need that the recommendation addresses or fills. Effort is defined as the amount of time and resources that achieving the recommendation will probably take (e.g., high = 1 year+, medium = 6 months to 1 year, low = less than 6 months). Recommendations include an automated staffing tool to address challenges of the current staffing formula and associated staffing guidelines, improved succession planning to better anticipate retirements and staff exits, and finally, exploring the cost-benefit analysis of a compressed schedule. Recommendation Priority Matrix r C GI • Amplify messaging of Cotrectional Officers' positive mission impact Conduct a Cost Benefit Analysis of 8- How vs. 1241out Shifts Assess the impact of current supplemental onboarding programs OW tow Effort • Develop Automated Stalling Tool Invest in Workforce Planning Capabilities Re - invest in Internships for Specialized Roles Impact • Medium Effort • High Effort High Figure 19 Recommendation #1: Develop Automated Staffing Tool to Establish a Reliable Source for Determining Staffing Levels The Deloitte team's most urgent and impactful (Figure 19) recommendation is developing an automated staffing tool to determine staffing levels, weigh security trade-offs, and accommodate future staffing needs. BOP's current methodology for assessing staffing requirements has not kept pace with the complexity and nuances of staffing BOP's institutions. As stated previously in the Manage section, staffing guidelines are developed independently rather than using a standard process across the Bureau and do not account for key drivers of staffing requirements such accrued personal time off, military deployments, or its mission. Additionally, the metrics used to discuss staffing internally differ significantly from how the agency reports on staffing externally, resulting in 37 EFTA00141405

disjointed communication between internal and external stakeholders such as Congress who ultimately decide on BOP staffing needs. Finally, as the GAO reported, the methods for assessing staffing levels are inconsistent in the methodology and documentation, which hinders the ability for BOP to address staffing shortfalls proactively and successfully.52 To address these challenges, it is recommended that BOP develop and implement an Automated Staffing Tool. The development of this tool would take a phased approach (Figure 20), beginning with a prioritization of the criteria that are most likely to influence staffing needs. Once this set of criteria has been defined, institutions will be categorized or grouped based upon criteria similarities (i.e., all 122 institutions will be grouped into 1 of 6 categories). Objective Audience Owner, Data Phase 1: Define Metivadology Define comprehensive criteria to categorize mission variables Create baseline staff ng guider nes baser] on categorization of mission criteria ,••t‘rporate ability to adjust muitipic vor lab e> enabling prediction of risk tradeoffs to specific staffing levels Categorize institutions based on criteria set that will dreve staffing levels Central Office Central Office Compute optimal number of staff levels at each institution broken cot by discipline based on the cntena set. Es.. layout inmate population. and mission Central and regional office Central and regional office (Static number) Layout security level. and missions of Staffing levels of all disciplines in institutions institutions 10-12 Weeks who volt be updating the tool and the frequency of it 10 - 12 Weeks Adjust baseline staff requirements based on changing mission needs variables. E.g.. inmate population and congressional mandates Institution wardens and admins Central and regional office update it on a recurring basis (frequency to be determinedl inmate-to-staff assaults. staff to -inmate assaults. incident reports TIM (next PoP) *Rollout end If (limns will be pronded by Debate Figure 20 In the second phase, a prototype of the tool will be built with the capability to compute the optimal staffing levels broken out by discipline. Leaders in the Central and Regional Offices will be able to review the optimal staffing levels of each institution based upon which category that institution falls under. This will streamline staffing guidance and provide a more holistic view of staffing requirements (currently, guidelines are written by each individual division and not coordinated across all disciplines). This phase will also provide data-driven justification for staffing requirements that can be utilized in communication with Congress, OPM, and other external stakeholders. United States Government Accountability Report No. GAO-21-123. 2021. 38 EFTA00141406

Figure 21: Sample Wirefrome for Version 1 of AST Figure 21.1: Sample Wirefrome of Version 2 of AST The next version of the tool will capture both optimal staffing levels and real-time staffing levels. In this phase, Wardens and Institutional Executive Staff will be able to view the most pressing staffing needs they are facing as an institution. Furthermore, this tool will enable Wardens to work with HR to consider changing variables (such as an increase in inmate population or the addition of Congressionally mandated tasks) to more frequently adjust staffing requirements. Finally, Wardens will be able to make risk-informed decisions to adjust for changing needs on the ground. The tool's scenario planning capability will enable a user to prioritize filling positions that have the greatest impact on safety and the ability to achieve mission requirements by connecting minimum staffing requirements to associated risk levels. The flexibility of an Automated Staffing Tool will allow for future iterations to incorporate expanded capabilities (e.g., projected workforce vacancy and turnover rates). Additionally, it would provide visibility of staffing levels to leadership from Central Office to local institutions. Although there are many benefits of implementing the Automated Staffing Tool, it is important to consider some of the impediments. If there is limited data available, it could significantly delay the process of development. Additionally, gathering new data in form of interviews and surveys would require time to facilitate and analyze. Another challenge would be the learning curve of both understanding how to use the tool and how to implement it to all institutions. Mitigating this would require understanding data gaps early on and determining minimum data needed to define the criteria. It would also require developing a robust project plan to ensure timeliness in distribution of surveys, as well as developing a change management plan to confirm stakeholder are kept informed every step of the way. Additionally, each version of the tool would begin with targeted rollouts. The following next steps are recommended to develop the Automated Staffing Tool. First, meet with stakeholders to propose and define criteria. Second, obtain relevant data for criteria. Next, conduct surveys and/or interviews to further validate criteria. Recommendation #2: Invest in Workforce Planning Capabilities to Improve Succession Planning Predictive workforce planning is the second most urgent and impactful (Figure 19) recommendation to improve BOP's staffing process and curb understaffing. As mentioned in the Hiring section, current recruitment strategies make it difficult to hire clinical and mental health professionals. The prioritization of mandatory retirements to backfill first are also often based on the individual Warden and Regional Directors' discretion. BOP needs a Bureau-wide operating procedure to enable individual institutions to predict and address staff turnover. More can be done to improve and better prepare for the loss of staff members when they arrive at their eligible or mandatory retirement date. To address these challenges, it is recommended that BOP take a proactive role in predicting staff retirements, exits, and promotions using historical data to conduct attrition modeling and forecasting. Data will help compare 39 EFTA00141407

forecasted staffing estimates with projected needs by identifying Bureau-wide eligible and mandatory retirements occurring in the next 5 years. Historical data can be used to forecast how many staff will have to be replaced to sustain adequate staffing levels. Understanding the average timeline for promotion will allow BOP to project how many positions will need to be backfilled annually. Once the historical data has been analyzed, BOP should integrate succession plan performance metrics into its "BOP Workforce Planning Information" Strategy plan of action to address gaps and clearly define owners.53 Other agencies such as the Federal Bureau of Investigation (FBI) use data to do attrition modeling and forecasting to outline patterns of retirement, separation, and promotions. BOP can benefit from similar research, form stronger connections, and leverage on-the-ground resources by reaching out to Regional Directors and local personnel to determine if the data is aligning with their experience. A best practice that can aid BOP in its succession planning is consistent and frequent communication with its potential new hires through recruitment coordinators and the utilization of an automated system, providing them with updates on where they are in the hiring process or their upcoming role, and ensuring they feel valued by the organization. Additionally, it is recommended BOP consider virtual platforms for interviews and introductory assessments, especially in the face of the COVID-19 pandemic. Good succession planning also involves knowledge transfer. Due to the mandatory retirement age of BOP, there is often a wave of outgoing employees at one time and, with them, a wealth of knowledge. Through succession planning, a part of an outgoing employee's experience can be recording that knowledge, whether in the form of a Standard Operating Procedure (SOP) or providing a training. Those retiring are experienced veteran officers whose knowledge can be leveraged and collected to add to best practices not only for their home institution, but for the organization at large. Currently there is a larger focus placed on mandatory retirements than on eligible retirements, due to the uncertain nature of eligible retirements. Utilizing data collection and predictive planning, the Bureau can better understand the percentage of officers who will separate from BOP upon their eligible retirement date based on historical trends. The following next steps are recommended to improve succession planning at BOP. First, it is recommended that BOP review its turnover data and typical promotion timelines to understand trends around career progression— analyzing how succession planning unfolds and the causes behind it. Second, BOP could benefit from researching best practices from similar enforcement agencies on predictive retirement modeling. Third, the Bureau could consider developing a strategic roadmap, with clear ownership of actions, to mitigate forecasted workforce gaps. Recommendation #3: Conduct Cost Benefit Analysis of 8-Hour vs. 12-Hour Shifts to Optimize Staff Allocation Conduct Cost Benefit Analysis of 8-Hour vs. 12-Hour Shifts is the third most urgent and impactful (Figure 19) which will provide quick assessment of differing shift schedule to uncover the most optimal schedule. Due to its existing FY 21 $7.7M budget, it is difficult for BOP to justify additional staffing resources to Congress. 54 It is recommended that BOP evaluate if Correctional Officers are scheduled at near perfect efficiency to help mitigate understaffing issues. As mentioned in the Manage Section, the current standard 8-hour shift schedule requires more shift transitions to ensure post coverage, which may result in increased mandatory OT and a reduction of days off. Other correctional facilities, such as state facilities, have utilized 12-hour shifts as a mitigation tool for understaffing. Currently, almost all BOP institutions use an 8-hour shift schedule to staff their facilities. BOP could benefit from outlining the costs and benefits of a compressed shift schedule to ensure officers are optimally BOP Human Capital Operating Plan_FY21_Q4 10-2021 — BOP Internal Document. 2021. " lustice.gov. https://www.justice.govidoilpagefine/1246666/download. 40 EFTA00141408

allocated. The compressed schedule should then be tested in a real-world setting at BOP institutions to examine both intended and unintended consequences. There are multiple benefits to a compressed work schedule. First, longer shifts translate to fewer shift handovers and scheduling complexities. 12-hour shifts only require two shift changes per day—which presents fewer opportunities for knowledge transfer gaps and a potential misunderstanding of security threats. Second, Correctional Officers in 12-hour shifts have more consecutive days off work to take care of their family and handle responsibilities outside of work. Correctional Officers working in a 12-hour shift environment would also encounter less mandatory overtime—providing them with a more predictable schedule. Due to these benefits, Correctional Officers may already be receptive to 12-hour shifts: field research participants indicated that they are already mandated to work 12-hour shifts in emergencies. One respondent said, "with a 12-hour shift, you have a team and you're only competing with your team for time off rather than all of custody." Another respondent stated that they were depressed by the 8-hour shift schedule and craved the compressed 12-hour shift schedule of their prior employment at a state correctional facility. Furthermore, a compressed work schedule would allow graveyard shift Correctional Officers more exposure with leadership and administrative staff who typically work during the day. Given the nature of correctional work, there are valid concerns around the adverse effects that a compressed schedule may result in such as increased complacency and reduced alertness after 8 hours on the job. BOP should evaluate the costs, benefits, and unintended consequences of a compressed schedule to better allocate their current staff. Successful implementation of a compressed schedule should incorporate union considerations and more senior Correctional Officers' scheduling preferences. First, many individual institutions have augmentation agreements with local unions that must be considered. However, BOP leadership should find confidence in the fact that the current Master Agreement already permits any individual institution to implement a 12-hour schedule. The only limitation is that with a 12-hour schedule, staff are only available for an additional 4 hours of overtime or augmentation. As a result, there will be fewer mandatory overtime shifts since Correctional Officers cannot be asked to work 24 hours straight. Successful implementation will also include a robust change management plan (particularly for more senior Correctional Officers) to acknowledge potential scheduling concerns or preferences. The following next steps are recommended to improve staff scheduling and optimize resources. First, it is important to define the goals and objectives of the two schedule options, 8-hour and 12-hour shifts. Second, it is recommended the Bureau analyze how a compressed schedule will affect the budget and required resources. Next, identify potential intended and unintended consequences of each option in a real-world setting. Other Recommendations Based on field research, data analysis, and stakeholder engagement, additional recommendations for BOP's consideration are below: • Invest in more data analysis that highlights hiring needs regarding the availability and quality of candidates at the local level to create more successful direct hire applications. • It is recommended that BOP reinvest in student loan repayment programs that are market-competitive and ensure consistent technical Subject Matter Expert input throughout the entire hiring process • Assess the impact of current supplemental onboarding programs to explore how standardization of the programs might drive an improved talent experience for new hires. • BOP can potentially combat hiring competition through data analysis to confirm their GS-levels and aligning wages are on par with similar positions at other law enforcement agencies. • Build upon the positive momentum of the newly revamped website and social media presence to amplify positive messaging internally and externally, highlight positive societal impact, and re-establish Correctional Officers' pride in their profession. 41 EFTA00141409

Conclusion The challenges around attracting and retaining employees with interpersonal skills, empathy, and the ability to operate successfully in a corrections environment are not unique to the Bureau of Prisons. The Bureau's ability to achieve its mission, however, relies heavily on mitigating the current staffing risks it faces. BOP has an opportunity to build upon its efforts to date by enacting the recommendations outlined in this report. Beyond responding to the February 2021 GAO report, these recommendations are designed to be reflective of BOP's vision for providing the most efficient, safe, and humane correctional services and programs in America. Appendix Appendix A: Field Research Themes After collecting data from interviews and focus groups, the data was organized into the following thematic categories: Career Development, Communication, Culture, Leadership, Staffing and Well-Being. Data was then further categorized into sub-themes: Augmentation, Benefits, COVID, EAP, Morale, Recruitment, Retention, Safety, Scheduling, and Training. Each theme and subtheme are defined below. The other section is for ideas discussed in the Current State Assessment that are not a theme or sub-theme in the field research. Themes: Career Development: The professional trajectory and advancement of an employee. Examples include responses about promotions, relocation, and further education. Communication: The interactions between employees across the Bureau of Prisons both horizontally and hierarchically. Examples include responses about standardization of information-sharing and daily dialogue amongst staff and leadership. Culture: The overall staff morale, job satisfaction and sense of community regarding working at the Bureau of Prisons. Examples include responses about staff events, comradery, and strengthening the public perception of Bureau of Prisons. Leadership: The guidance, management, and accountability across and between multiple levels of employees and managers. Examples include responses about Supervisors, Lieutenants, Wardens and staff at Regional Office and Central Office. Staffing: The distribution of employees and allocation of resources to institution posts, positions, and associated rosters. Examples include responses about understaffing and augmentation. Well-Being: The mental and physical state of wellness and feeling of safety and security at the individual level. Examples include responses about burn out. Appendix B: Focus Group Questions 1. Introduced the facilitators, overviewed the objective of the project, and covered the ground rules. 2. Asked the participants the icebreaker: "What is one thing you love about working at your institution, and what is one thing that bugs you?" 42 EFTA00141410

3. Instructed the group to take three voting dots and answer the question, "What are the biggest staffing challenges at your institution."ss The pre-populated answers are as follows: • Recruiting quality candidates • Lengthy hiring process • Ineffective onboarding and training • Competing with other jobs in the area • Inconsistent recognition for good work • Use of augmentation and/or mandatory overtime • Negative view of corrections • Leaders who don't communicate well 4. Used one-word associations to quickly uncover recurring themes or outliers of EAP perception with the Bureau. 5. Prompted the group to write on three sticky notes the answer to the question, "If you were the Bureau of Prison's Director for a year, and you had an unlimited budget, what would you do to improve these three topics: Culture, Staffing, and Well-Being?" 6. Thanked participants for their contributions. Appendix C: Competitive Job Landscape lki&H .re While the Bureau of Prisons has conducted analysis on how their Correctional Officers' salaries compare to state- level averages, the analysis has not been sufficient to provide evidence that salary gaps are a key driver of recruitment challenges.s6 The graphics below illustrate the output of further analysis conducted using publicly available data from OPM's FedScope tool and the Bureau of Labor Statistics occupational workforce datasets to compare federal Correctional Officer average salaries to Correctional Officers in other industries such as state and local. Figure 1 illustrates the average annual wage of federal and national entry level Correctional Officers by state. Initial Conclusion: Conclusions that can be drawn from this analysis are that if the lowest 10% earners are in comparison to the GS-6 level, then Federal employees on average have a higher starting salary. Alternatively, if the lowest 25% earners are in comparison to the GS-6 level, then high cost of living states such as California, New York, and Illinois have Focus group participants could put more than one voting dot on an answer. ,4 United States Government Accountability Report No. GAO-21-123.2021. 43 EFTA00141411

on average a higher starting salary. Validation of either claim would require further analysis of detailed non- publicly available salary data by state for Correctional Officers. Federal vs. :National: Correctional Office' Average Annual Wage (Entiy.Levell lay State Ill kill 11 jtj Figure 1: ,National wage is an aggregate of all industries that hove Correctional Officers employed (state, local, federal, etc.). Graph is organized by BOP wage trend Figure 2 Data Source: Bureau of Labor Statistics (BLS) One Occupation by Multiple Industries (May 2020) Note: Health Core and Social Assistance: Includes psychiatric core and substance abuse hospitals; Other: includes Private Ownership and Administrative and Support (including Waste Management and Remediotion Services. Figure 2 illustrates how federal (BOP) salaries on average compare to similar Correctional positions in alternate industries. The conclusions that can be drawn from the chart to the left is that on average Federal and Health Care Correctional Officers are the leading industries in terms of salary. What can be drawn from that chart to the right is that since state institutions on average have more employees, wages might reflect that. In the cases of high cost of living states, State Correctional Officers might get paid more than Federal Correctional Officers. Recommendation: Conduct Wage and GS-Level Analysis to Benchmark Compensation Given the scope of this report, it is recommended that BOP conduct further analysis to compare their Correctional Officers wages to similar occupations or its competitors. Analysis at this level could then be used as evidence that difficult to recruit locations should qualify for special salary rates. Additionally, it would be beneficial to assess current grade levels of positions to determine if it aligns appropriately. 44 EFTA00141412

Appendix D: Key Definitions BOP's medical care includes four level classifications, to which each inmate and institution are assigned57: Care Level 1 provides medical support for inmates younger than 70 years and in generally good health. The inmate may have limited medical needs that can be easily managed with annually or biannually evaluations. Examples of Care Level 1 inmate conditions include mild asthma and diet-controlled diabetes. Care Level 2 provides medical support to inmates requiring evaluations from monthly to biannually, whose medical and mental health conditions are manageable through regular appointments. Enhanced consultations may be required occasionally. Example conditions include medication-controlled diabetes and epilepsy. Care Level 3 provides medical support for inmate outpatients who have complex or chronic medical conditions. These inmates require frequent appointments to remain stable and prevent hospitalization. Inmates falling into this Care Level may need assistance with day-to-day activities, often provided by inmate companions. They may require periodic hospitalization. Example conditions include severe mental illness in remission on medication and end-stage liver disease. Care Level 4 includes inmates requiring services that can only be provided by a BOP Medical Referral Center (MRC), which can give enhanced care and services. The inmate may be severely impaired and required around the clock care or assistance. Examples of Care Level 4 inmate conditions include dialysis, stroke or head injury, and major surgical treatment. The Core Value Assessment is part of the Bureau's pre-employment screening for potential new hires. The assessment is a measurement tool that encompasses BOP's core value competencies and behaviors.58 Candidates are allotted 70 minutes to answer multiple choice and 2-part questions on either a tablet or on paper. The Human Resources Management Division (HRMD) coordinates personnel matters, including pay and leave administration, incentive awards, retirement, work life programs, background investigations, adverse and disciplinary actions, and performance evaluations. HRMD also manages employee development functions, directs recruitment efforts programs and administers the provisions of the collective bargaining agreement with representatives of the union at the national level. The Consolidated Staffing Unit (CSU) located in Grand Prairie, Texas, and National Recruitment Office (NRO) both fall within this Division. The Reentry Services Division (RSD) provides enhanced oversight and direction in the critical area of offender reentry, focusing on reentry programming and community resource transition. RSD is responsible for functions regarding contract residential reentry centers, residential reentry management field offices, federally sentenced juveniles, and both prison and community-based drug treatment. The divisions also work with other disciplines, agencies, and organizations to develop programs, resources, and activities designed to facilitate the successful reintegration of inmates into their communities upon release. The Correctional Programs Division (CPD) provides national policy direction and daily operational oversight of institution correctional services, as well as hold responsibility for inmate records, information gathering and case management. CPD coordinates the Victim and Witness Notification Program and the Inmate Financial Responsibility Program, manages inmates in the Federal Witness Security Program, coordinates the treaty transfer of inmates with other countries and manages the Bureau's contracts with private prisons. The Correctional Services Branch (CSB) falls under this division; CSB provides programs and services such as intake assessment, Care Level Classification for Medical and Mental Health Conditions or Disabilities. haps://www.boo.goviresources/pdfs/care_level_classification_guide.pdf a Program Statement: Pre-employment. https://www.bop.gov/policy/progstat/3330.02.pdf 45 EFTA00141413

work-based education, and release planning. The National Institute of Corrections (NIC) provides training and technical assistance, information services, and policy and program development to correctional agencies. NIC awards funds to support program initiatives and provides guidance to correctional leaders and policymaking officials. Divisions work with regional offices, whose staff serve as liaisons to institutions in a designated region. Each region consists of a Regional Director. There are six regions within the organization: • MXR: Mid-Atlantic Region: Kentucky, Maryland, North Carolina, Tennessee, Virginia, West Virginia • NCR: North Central Region: Colorado, Illinois, Indiana, Kansas, Michigan, Minnesota, Missouri, South Dakota, Wisconsin • NER: Northeast Region: Connecticut, Massachusetts, New Hampshire, New Jersey, New York, Ohio, Pennsylvania • SCR: South Central Region: Arkansas, Louisiana, Oklahoma, Texas • SER: Southeast Region: Alabama, Florida, Georgia, Mississippi, Puerto Rico, South Carolina • WXR: Western Region: Arizona, California, Hawaii, Oregon, Washington Central Office (CO) includes the following offices and divisions • Grand Prairie • Staff Training Academy • Management Specialty Training Center • Reentry Services Division • Program Review Division • Office of General Counsel • National Institute of Corrections • Information, Policy & Public Affairs Division • Health Services Division • Human Resource Management Division • Federal Prison Industries • Director's Office • Correctional Programs Division • Administration Division Appendix E: Time-On-Post (TOP) Formula The T.O.P. formula was created by BOP to replace the static number used in the past to understand how many days a Correctional Officer is available to work. T.O.P. annually calculates necessary staffing levels and determines how many days a staff member is available to work each year. The T.O.P. formula awaits approval until BOP responds and addresses GAO recommendations. 46 EFTA00141414

I Review Review the daily assignments of each staff member for the past year. 2Calculate Calculate the number of days each staff member was not assigned to their post (e.g., 65). Bureou-Wide Analysis 3 Subtract Subtract that number from 364 days per year (e.g.. 364- 165 - 199). The final number is this staff members available time to be on post 4Average Finally, average the T.O.P. for all employees of that specific instituuon for the review year (Average T.O.P. at HAX in 2019 was 179). Insoturion Specific Appendix F: Document Review BOP Document Review Document Insights BOP Phase II Campaigns and Accomplishes Reviewed BOP's marketing campaigns for recruitment and the successes behind it BOP Year 1 Recruitment Summary Assessed recruitment successes of various marketing efforts Daily and Quarterly Rosters Reviewed the roster program to see how scheduling works at BOP institutions BOP OT-Augmentation by location Trended out overtime and augmentation usage by region for the past 5 years Current Retention for Three Rivers, Edgefield, Butner, Allenwood, and Philadelphia Analyzed list of employees receiving retention incentives based on institution Recruitment or Relocation Incentive for Three Rivers, Edgefield, Butner, and Philadelphia Analyzed list of incentives by amount and date being received broken out by employee. Data includes past 2 years Staffing Levels for Three Rivers, Edgefield, Butner, Allenwood, and Philadelphia Trended out staffing levels by authorized, filled, and vacancies by pay period for both Correctional Officers and Medical staff. Used past 20 pay periods for this analysis. Leave Hours for Philadelphia Reviewed leave data broken out by sick, weather, annual, leave without pay, training, and accident for past 2 years Turnover Rates 2020, 2019, 2018, 2017, 2016 Reviewed average trend of turnover rates by location broken out by Correctional, non-Correctional, and all BOP staff BOP Human Capital Plan Reviewed BOPs strategic objectives to strengthen its workforce and efforts to date. Gives an overview of occupations deemed most mission critical Hiring Process Timeline Reviewed overview of the hiring process timeline including estimated length of time Compensation Policy Reviewed various compensation for the appropriate position to retain and attract employees Including all the incentives offered and the different pay types such as Title 38 and student loan payment BOP Staffing Study Study was conducted to analyze BOPs staffing methods. They found that custody staff all posts were appropriate to have, but concerns were about having a high inmate to staff ratio. While non-custody staff concerns were around high workloads Staffing Guidelines — CPD, RSD, HSD Reviewed BOP department's staffing requirements to increase understanding of overall staffing at BOP Inmate-to-Co Ratio Reviewed inmate to Correctional Officer ratio broken out by institution 47 EFTA00141415

Mandates 2021, 2021 Reviewed list of assignments broken out by either employee accepted or mandated including shift and mandate type BOP LV USAGE since 2019-01 thru 2021-20 Reviewed leave trend for past 5 years to see what type of leave has increased CST Manual Proposed CST Policy Reviewed the CST's new mission and objectives BHS Insights and Utilization Report Probed various datapoints around the EAP service providers' utilization and marketing efforts Survey on the EAP Examined the strengths and weaknesses of EAP through the internal report Semi-Annual Report on Staff Wellness 2021 Analyzed EAP utilization and staff suicide data BHS Trends and Observations Examined BHS trends in utilization and overall satisfaction EAP Policy Studied the purpose, scope, and program requirements for EAP EAP Annual Training 2021 Researched the challenges faced with correctional work and how to obtain EAP services ICT Family Inclusion Memo Outlined family members involvement in ICT I. EAP ICI Training 2021 Examined EAP services and how the services can improve correctional work Staff Safety and Support Policy Addressed staff suicide and established a leadership driven model to support EAP and CST Staff Suicides 1997 — Present Researched all staff suicides since 1997 Suicide Prevention Program Analyzed the purpose, scope, and objectives of the Suicide Prevention Program Top 10 Institutions with AWOL Usage 18,000 16,000 14,000 12,000 L' 10• 000 8,000 6,000 4,000 2,000 0 BEAUMONT BROOKLYN BUTNER YAZ0001Y PETERSBURGMCM/MLIZ mantropi POELOOC COLEMAN AMNIA MOC COMMA% COMPLEX COMPLEX COMPLEX COMPLEX COMPUX COMPLEX USP Institution Figure 3: Top 10 institutions with the highest usage of Absence without Leave (AWOL) 48 EFTA00141416

Deloitte About Debitte As used in this document, "Delortte" means Deloitte Consulting LLP, a subsidiary of Oebitte U.P. Please see isy/w.clrbstr con \ (0i/shout for a detailed description of the legal structure of Oebitte USA LIP, Deloitte UP and their respective subsidiaries. Certain servkes may not be available to attest clients under the rules and regulations or public accounting. 49 EFTA00141417

U.S. Department of Justice Federal Bureau of Prisons Central Office Washington, DC 20534 May 6, 2024 MEMORANDUM FOR ALL CHIEF EXECUTIVE OFFICERS FROM: Randall C. Burleson, Sr. Deputy AssistadDirec Administration Division curement Executive eputy Assistant Director ctional Programs Division SUBJECT: Security Camera Monthly Report - Institution Effective June 1, 2024, a monthly reporting process will be implemented at all Institutions. The report will be implemented collaboratively between the Administration Division — Facilities Management Branch and Correctional Programs Division — Correctional Services Branch. A sample of the report template is attached for your reference. The procedure for completing the report is as follows: The Electronics Technicians at each Institution will prepare a monthly security report that has a template input into the Facilities Management Computerized Maintenance Management System. The report lists the total number of installed cameras, any adjustments to the camera count that may have been made, the camerae recording capability, the operational state of the cameras and recording devices, and any repairs that were made to cameras during the month. Each Institution's Captain and Facility Manager will examine the report to ensure that the information is complete and accurate. The Security Camera Report will be input into the Facilities Management Monthly Report to the Region and submitted from the Warden to the Regional Director. Should you have any questions on this matter, please contact Justin M. Thornton, Chief, Facilities Management Branch at 202-598-7080. Attachments: 1 cc: Regional Correctional Services Administrators Regional Facilities Administrators EFTA00141418

INCENTIVES PLAYBOOK BUREAU OF PRISONS HUMAN RESOURCE MANAGEMENT DIVISION JUNE 2023 EFTA00141419

2 Table of Contents Section One: How We Got Here 5 Background, Purpose, and Intended Audience 5 Incentives Landscape 5 Why Create a Playbook? 7 Definitions and Methodology 8 Terminology 8 Working Sessions and Methodology 9 Lessons Learned 11 Criterion to Identify High-Risk Groups 12 Defined Criteria for Identifying High-Risk Groups 12 Section Two: Incentives and Awards Offerings 13 Current Incentives and Awards Offerings and Processes 13 Individual and Group Incentives Currently Offered 13 Monetary and Non-Monetary Incentives Currently Offered 13 New Incentives and Awards Offerings 19 Section Three: Goals and Considerations 23 Measuring Success: Goals, Performance Metrics 23 Performance Measurement Approach 23 Performance Metrics 24 Incentives Playbook Goals 24 Implementation, Tracking, and Evaluation 24 Barriers and Considerations 26 Budget Considerations 28 OPM Incentives Guidelines 28 Institution-Level Budget 28 Cost of Current Incentives 29 Cost of Implementing New Incentives 29 Conclusion 30 Additional Incentives and Awards for Future Consideration 30 Section Four: Making it Happen 32 Points of Contact 32 Appendix 32 2 EFTA00141420

3 Chart A: Stay Interview Major Themes 32 Chart B: Incentives Survey Results 33 Chart C: Incentives Approvals Chart, Roles, and Responsibilities by Leadership Level 33 How to Apply Criteria 34 Checklist for Identifying High-Risk Groups 34 Communications 36 Stay Interviews: Information and Resources Packet 40 3 EFTA00141421

4 Audience Central Office Regional Office Institution Sections • Entire Playbook • High-Level Background • High-Level Background Included • Chart highlighting • Definitions and High-Level • Definitions what was provided at Methodology • Criteria to Identify High- the Regional Office • Criteria to Identify High-Risk Risk Groups (RO) level and Groups • How to Apply Criteria Warden level • How to Apply Criteria • Employment Incentives • Future incentives to consider • Incentives and Benefits Currently Offered and Awards Menu of Options • Employment Incentives and • High-Level Goals and Awards Menu of Options Performance Metrics • Goals and Performance Metrics • Budget Constraints • Budget Constraints • High-Level Conclusion • High-Level Conclusion • Regional Office POC • Central Office POC Supplemental • Training • Applicable Training • Applicable Training Resources • Communications from Central Office to 1) Dal, 2) Union, 3) Regional Offices, 4) • • Applicable Communications from RO to Wardens Resources for Conducting Stay Interviews • Applicable Communications (e.g., Warden to HRM, employees) All employees • Applicable One-Pagers (RO-level • Applicable One-Pagers • Resources for and ones provided to Wardens) • How to Apply Criteria Conducting Stay • How to Apply Criteria Resource Resource Interviews 4 EFTA00141422

5 Section One: How We Got Here Background, Purpose, and Intended Audience The Incentives Playbook aims to standardize the BOP's approach to incentives throughout all levels of the Bureau while addressing three key Government Accountability Office (GAO) recommendations. These recommendations are highlighted below: Recommendation 1: Strategic Human Capita! Operating Plan The Director of the BOP should include in the forthcoming strategic human capital operating plan, 1) human capital goals and 2) strategies on how human capital flexibilities—including retention incentives—will be used to meet these goals. (2017 GAO Recommendation #1)1 Recommendation 2: Performance Measures The Director of the BOP should assess the outcomes of the staffing incentives it utilizes by developing performance measures and goals, measuring outcomes against them, and adjusting incentives, as appropriate. (2021 GAO Recommendation #4)2 Recommendation 3: Evaluate Incentives Mk The Director of the BOP should evaluate the effectiveness of the BOP's use of retention incentives to help determine whether the incentives have helped the BOP achieve its human capital goals or if adjustments in retention incentives are needed. (2017 GAO Recommendation #2)1 Incentives Landscape The BOP offers three main types of incentives: recruitment, relocation, and retention. The Incentives Playbook is inclusive of incentives as well as awards at the Bureau, Regional and local levels (e.g., local awards, Time Off Awards, etc.). Incentives and awards are used to attract and retain talent across the BOP, but the frequency of usage for the three main incentives has steadily risen to meet demand from challenges such as recruiting and staffing at hard-to-fill locations. The figure below highlights incentive spending from Fiscal Year (FY) 2017 to FY 2021. United states Government Accountability Report No. GA0-17-317. 2017 2 United states Government Accountability Report No. GA0-21-123. 2021 5 EFTA00141423

6 488Mitamesse O Relocation Incentives rms 3/4. • BOP spent $I9.9M on a total of 2.612 recruitment incentives • The top positions recennng recruitment incentives include GS 5/6 Correctional Officers ($9.SM). GS 7 Senior Officers ($34 MI. and RNs(S2.1M) • Recruitment spending has increased and has primarily targeted entry level Correctional Officers • BOP spent S73M on a total of Saa relocation incentives • The top positions receiving relocation incentives include Lieutenants (52.6M). Health Services Administrators (5199K) and 65-8 Semor Olr.cec Specialists ($231 K) • Relocation incentives only account for 3.5% of all incentive spending • BOP spent SI66.6M on a total of 21.7aa retention incentives • The top positions recewing retention incentives include 658 Senior Officer Specialists $17.7ML G57 Senior Officers (514.6M). and RNs ($16.13M) • Four California Institutions • Atwater. Herlong. Mendota. and victorville • made up almost one- third of the retention incentive spending from FY 17 to FY21 Figure I From fiscal year (FY) 2017 to FY 2021, the BOP spent $193.8M across the three types of incentives. Over 85% of that total covered more than 21,000 retention incentives — a cost of $166.6M. In comparison, recruitment incentives made up $19.9M in that time and $7.3M was used for relocation incentives. In 2021, almost 4,600 incentives requests were sent to the Staffing and Employee Relations Section (SERS) within HRMD. Recruitment and retention incentives represented the highest two requests at 56.1% for retention and 27.8% for recruitment. As a comparison, the next highest incentives requests sent to SERS in 2021 were for the entry age waiver at 4.8% of requests.3 While SERS reviews incentives annually per OPM guidelines, it is more challenging to show correlations to incentives usage and reduced employee separations. There are many reasons an institution or region may need to provide an incentive. For example, there are five institutions in California — USP Atwater, FCI Dublin, FCI Herlong, FCC Victorville, and FCI Mendota, or the "California 5" — that have been offering retention incentives consistently for over 10 years and make up almost one-third of the Bureau's incentive spending. The Bureau has approved the extension of retention incentives to these locations to keep up with the cost of living in the state and be competitive with the California Department of Corrections. Other California city-based BOP facilities, outside of the "California 5" may offer employees a cost-of-living adjustment that helps bring their salaries closer to corrections jobs at the state department." Another reason for an incentive to be offered is if the location is determined to be hard-to-fill, such as FCC Yazoo City, where there has been a consistent need for employees in recent years. The rise in incentive requests may indicate a need to further examine how the BOP's salaries for hard-to- recruit positions and locations compare to the facility's local job market. By implementing a comprehensive wage analysis alongside standardizing and evaluating incentive offerings, the BOP can remain competitive, attracting and retaining highly qualified employees. Total Incentives Processed by SERS for Calendar Year 2021 Evaluation of Retention Incentives in the BOP, Late CY 2001 to Early CY 2018 (BOP Office of Research and Evaluation) 6 EFTA00141424

7 Why Create a Playbook? The Incentives Playbook is an extensive guide with a three-fold objective: (1) understand the incentives available to offer to individuals; (2) identify groups of employees that are at the highest risk of separating from the BOP; (3) recommend and track benefits and incentives options for high-risk employees. The Playbook's effectiveness will be determined at the end of the year by evaluating if BOP met its pre-determined top priority goals (See Section Three: Incentives and Benefits Offerings). The Incentives Playbook includes the following: • Checklist to identify high-risk groups based on provided criteria (See How to Apply Criteria) • Standardized menu of incentives and benefits options to retain high-risk groups (Figure 6) • Drafted communications to explain to employees how incentives will be used across the BOP (See Section Four: Making it Happen) • Drafted communications for leadership around incentives available (See Section Four: Making it Happen) • Drafted communications to offer incentives to individuals (See Section Four: Making it Happen) • Performance metrics and training to measure effectiveness of playbook and return on investment (ROI) for each type of incentive (See Section Three: Incentives and Benefits Offerings • and Section Four: Making it Happen) • "How-To" guides for leaders on offering appreciation, recognizing employees, putting on morale- boosting events, etc. and a facilitation guide to lead groups (See Section Four: Making it Happen) • Drafted newsletter template for Wardens to provide updates and recognition to institution employees (See Section Four: Making it Happen) These resources will provide clear guidance on how and why incentives should be used, outline a standardized business process, and a way to measure the effectiveness of incentives to retain BOP's most valuable asset: its people. The BOP has conducted efforts to inform the playbook, internal and external research was conducted regarding incentives, focusing on how the BOP has spent recruitment, relocation, and retention incentives across all institutions from FY 2017 - FY 2021. Other analysis included a review of Bureau's turnover trends, exit survey data, as well as conducting external research on incentives use at similar federal law enforcement agencies such as United States Marshal Service (USMS) and Transportation Security Administration (TSA). In addition to incentives that BOP offers, other federal law enforcement agencies offer their own distinct incentives. For instance, along with having Time Off Awards (TOA), Cash Awards, Director Awards, and Parking Spot Awards, USMS offers a well-established mentorship program. Both the BOP and TSA grant Referral Bonuses and Tenure Pins at certain year marks to employees, but TSA also has Service Pay in which employees are more frequently eligible to move up a pay band depending on tenure and evaluation. While the types of incentives offered at the state law enforcement level remain primarily the same as the BOP, the monetary amounts are different. For example, the Colorado Department of Corrections provides a 7 EFTA00141425

8 relocation reimbursement of $5,000 along with a $4,000 annual retention incentives To relocate with the Memphis Police Department, the relocation incentives rise to $10,000 along with a retention incentive of 9% of base salary per year for up to 5 years.6 To see all incentives the BOP can offer, refer to Current Incentives and Benefits Offerings and Processes. Definitions and Methodology The below section highlights terms used throughout the Incentives Playbook as well as a description of the development methods used to create this Bureau-wide resource. Terminology Award: A monetary or non-monetary offering given to eligible employees for going above and beyond at their institution, within their region, or across the BOP Correctional Programs Division (CPD): Provides national policy direction and daily operational oversight of institution correctional services, as well as holds responsibility for inmate records, information gathering and case management Criteria: The set of factors used to determine if an employee or group of employees are at a higher risk of separating from the BOP Focus Group: A diverse group of individuals pulled together for a guided discussion Government Accountability Office (GAO): An independent, non-partisan agency that provides Congress and federal agencies with objective, non-partisan, fact-based information to help the government save money and work more efficiently High-Risk Groups: A group of employees at a higher risk of separating from the BOP compared to other groups of employees Human Resource Management Division (HRMD): Coordinates personnel matters, including pay and leave administration, incentive awards, retirement, work life programs, background investigations, adverse and disciplinary actions, and performance evaluations Health Services Division (HSD): Provides medical, dental, and mental health services to Federal inmates in Bureau facilities Incentive: A monetary or non-monetary offering or benefit given to recruit, motivate, retain, and/or support employees Information, Technology and Data Division (ITDD): Houses the BOP's Information Technology program, manages the Bureau's public and intranet sites, and correctional security technology; provides systems development and support, information management and correctional technology Menu of Options: A set of incentives and benefits offerings that all levels of leadership can refer to when trying to determine the most effective way to retain employees New Hire: An individual who has been employed with the BOP for less than one year Office of Personnel Management (OPM): The lead agency for human resources and policy management for the government Retention: The ability of an organization to engage existing employees and limit employee turnover s Current Employees 1 Department of Corrections (colorado.gov) °A City Pairs Relocation Payments with Bonuses to Recruit Police - Route Fifty (route-fifty.com) 8 EFTA00141426

9 Reentry Services Division (RSD): Provides enhanced oversight and direction in the critical area of offender reentry, focusing on reentry programming and community resource transition Stay Interview: A conversation with an employee about their experiences and why they remain at the BOP Subject Matter Expert (SME): An individual who possesses a deep understanding of a specific subject Survey: The process of collecting, analyzing and interpreting data from many individuals to determine insights into a group of people Working Session: Time dedicated to learning from and brainstorming with Subject Matter Experts around current and future steps for the BOP Working Sessions and Methodology Development of the Incentives Playbook took place in four main phases in which internal and external research was conducted, combined with working sessions, interviews, and surveys with employees at the BOP. A table summarizing each phase can be found below (Figure 2). Phase One Conduct working session with Central Office SMEs • Conduct working session with Mid-Atlantic and Western Regional Office SMEs to validate findings in Central Office session • Conduct Stay Interviews with high.nsk group staff • Distribute Incentives survey to 4800• high-ask group staff • Analyze interview and survey findings Out • Conduct working session with Central Office SMEs to discuss Implementing new offerings • Conduct working session with Central Office ADs and RDs around incentives goals • Develop the Incentives Playbook • Develop and distribute trainings and communications around the Incentives Playbook resource • High-RiskGroups In MXR and WXR Identified (CorrecriOnol Officers, New Hires, Nurses) • Determine top monetary and non-monetary incentives staff would like to receive • Determine performance goals around incentives and metrics to track incentives usage • Share the Incentives Playback with all levels of leadership at BOP and begin tracking incentives usage Figure 2 Phase One The first working session was conducted with Central Office SMEs. Attendees represented the multiple divisions — Correctional Programs Division (CPO); Human Resource Management Division (HRMD); Health Services Division (HSD); Information, Technology and Data Division (ITDD); and Reentry Services Division (RSD) as well as the national union — to ensure a holistic view of experiences. The goals of this phase were to identify and validate standardized criteria that could be used to determine high-risk employees or groups of employees, informing the first version of the Incentives Playbook. Criteria for high-risk groups discussed in these sessions included: job market competition, location of institution, morale, time-to-recruit and time-to- hire, promotion opportunities for the role, schedule, job requirements for the role, turnover rate, pay, empowerment and authority within the role, relationships with supervisor or manager, and the employee's tenure at the BOP (See Criteria to Identify Hiqh-Risk Groups). These criteria were used to determine the top three high risk groups at the BOP: Correctional Officers, New Hires, and Nurses. A second working session was conducted with regional-level employees in the Mid-Atlantic and Western Regions (selected because they represent the greatest spending on incentives and present a diverse sample of institutions), to validate the first session's determined criteria and high-risk groups. Once the top three high-risk groups were identified and validated (Correctional Officers, New Hires, and Nurses) for the Mid-Atlantic and Western Regions, developers of the Incentives Playbook moved to Phase Two. 9 EFTA00141427

10 Phase Two After defining the groups of employees that are at higher risk of leaving the BOP, it was necessary to understand what those groups of employees value most when choosing and continuing in a career path. In this phase, the team conducted "Stay Interviews," an interview technique meant to uncover current employees' perspective on what they value and why they choose to remain with the Bureau. A sample group of individuals in the Mid-Atlantic and Western Regions who fell into one of the top three high-risk groups (Correctional Officers, New Hires, and Nurses) were requested to participate in a Stay Interview. The interviews provided them an opportunity to answer a series of questions pertaining to their work, their values, and what motivates them to continue working at BOP, in addition to an opportunity to share ideas of new ways to incentivize employees or improve existing processes (See Section Four: Making it Happen). 50 interviews were conducted with employees in the Mid-Atlantic (30 interviewees) and Western (20 interviewees) Regions, who represented 19 BOP institutions. Figure 3 shares interviewee demographics from the two regions. Participant Statistics. 50 interviewees 20 Correctional Officers 18 Nurses 12 New Hires 950+ data points 5 time zones represented 19 institutions represented 5.4 years average tenure Figure 3 a "The people I work with inspire me and make me want to do my best work." — Stay Interview Participant, WXR Correctional Officer In addition to interviews, a survey was sent to approximately 4,800 employees in the Mid-Atlantic and Western Regions who were either Correctional Officers, Nurses, or New Hires, asking them to rank the incentives and benefits options they valued most. Survey completion was 25.9% at the time the survey was closed. Incentives and benefits options on the survey included both incentives the Bureau currently offers, and new ideas informed through Stay Interviews or external research on what other federal agencies offer. Options were both monetary and non-monetary, including an award for consistent attendance. Each option that may need union approval, policy change, etc. was highlighted for employee awareness. ‘ma The top three most voted monetary incentives and benefits options were: 1. Award for consistent attendance 2. Acknowledgement of tenure (i.e., 5-year bonus, 10-year bonus) 3. Award for high performance The top three most voted non-monetary incentives and benefits options were: 1. Hybrid or flexible work opportunities (for applicable offices, locations, and positions) 2. Monthly or quarterly events 3. Childcare center or childcare reimbursement For more information on the survey, results, and input from employees, please refer to Chart C. Phase Three After gaining an understanding of what employees value and wish to see via incentives and benefits offerings, the team reconnected with BOP SMEs to conduct additional working sessions. The first session reviewed 10 EFTA00141428

11 research on incentives offerings provided at other federal and state organizations and evaluated the feasibility of implementing each monetary and non-monetary incentive presented in the survey sent to Mid-Atlantic and Western region employees during Phase Two. Input was provided from leaders within HMRD, the Office of General Counsel, the Incentives Office, one Regional Director, and the union. The second session, attended by representatives from HRMD, HSD, RSD, and multiple BOP regions, determined goals and performance metrics to measure incentives utilization against; the final session established methods for tracking incentives usage and progress on incentives goals utilizing the BOP's current data collection systems (See Section Three: Incentives and Benefits Offerings). Phase Four To ensure the Incentives Playbook provides the greatest value, training and communications were developed for leadership at Central Office, Regional Offices, and individual institutions on how to read and apply the materials. Training on how to determine what incentives and benefits to offer employees, alongside communications to disseminate incentives-based information, can be found in Section Four: Making it Happen. Lessons Learned During the development of this playbook areas for improvement arose in each phase. Below are some recommended best practices for future similar efforts. Involve critical stakeholders early to help schedule interviews. Before reaching out to schedule and conduct interviews or distribute the survey regarding incentives, it is crucial to determine points of contact across the BOP. Regional Directors provided support by connecting with Wardens, who worked with both the national union and their local unions to identify and aid in scheduling interviews. When scheduling interviews, it is important to keep in mind the correctional work environment's impact on the availability of interviewers and interviewees (e.g., off-shifts) in addition to ensuring representation from institutions in all states and time zones. Frame survey questions with the least amount of ambiguity. When determining high-risk groups and creating interview or survey questions, it is important that wording is clear; for example, a "new hire" is an employee with less than one year at the BOP. Questions asked of interviewees were often perceived differently — when asked if they had tools to do their job properly, responses varied between physical tools (e.g., enough masks during COVID) and figurative tools (e.g., mentorship and training). Allow for identifying data to be collected while preserving anonymity. If utilizing surveys, ensure opportunities for employees to share information (e.g., their role or region) that can be analyzed without losing anonymity. 11 EFTA00141429

12 Criteria to Identify High-Risk Groups Criteria used to identify a high-risk group were determined through various working sessions with SMEs at all levels of the BOP. Leaders at the Central Office, Regional Directors, and Wardens should use the criteria to identify high-risk groups in their region or at their institution. A checklist and how-to guide on applying the below criterion can be found in Section Four: Making it Happen. Defined Criteria for Identifying High-Risk Groups The following criteria are listed in order of votes received during Phase 1 working sessions. Job Market Competition: Local and national competition Location of Institution: Cost of living, desirability, nearby resources, culture of institution, scarcity of role in area Morale: Mental and emotional condition of group or individual regarding a task or function Time-to-Recruit and Time-to-Hire: Cost to hire and impact on desire to stay due to the time it takes to hire an employee Promotion Opportunities: Low-level roles that max out at a certain GS-level, or with limited positions in the next GS-level at the institution Schedule: Type and flexibility of schedule (e.g., night shifts, hybrid eligibility) Job Requirements for role: Additional education, licenses, certifications Turnover Rate: Frequency with which employees leave their role at the BOP Empowerment and Authority: Freedom in decision-making and trust granted to execute the tasks within one's role Pay: Salary amount compared to local competitive pay a Employees Tenure at BOP: Measure of how long employee has been employed at the BOP (e.g., less than a year, eligible to retire) Supervisor and Manager Relationships: Transparency and support between employees at all levels 12 EFTA00141430

13 Section Two: Incentives and Awards Offerings Current Incentives and Awards Offerings and Processes The purpose of the BOP's incentives program is to "recognize and promptly reward employees who perform in an exemplary manner or make significant contributions to the efficiency and effectiveness of Bureau operations and to honor those who have served the Government faithfully and well." The BOP offers various incentives to achieve this mission and support its people. The three main categories of incentives are:7 1. Recruitment Incentives - Used to motivate individuals to join the BOP. 2. Relocation Incentives - Used to reward employees who move to work in a hard-to-fill location for a certain amount of time (i.e., 24 months or shorter based on the Director's discretion). 3. Retention Incentives - Used to retain employees who would be likely to leave the Federal service. Process for nominating incentives: Proposed incentives must be submitted in writing, approved through the appropriate channels by the appropriate decision maker or delegated decision maker. There are two general rules for awarding incentives: 1. The approving official must be at a higher level than the recommending official. 2. The award is only discussed with the recipient only after it has been approved. Please reference the Notional Incentives Program Statement' for more information on how the incentives approval process works. Individual and Group Incentives and Awards Currently Offered The BOP gives out both Individual and Group incentives. Individual incentives are awarded to specific individual employees who demonstrate the behavior and/or impact described in the award. Group incentives are awarded to groups of employees (e.g., Correctional Officers) based on the qualifications of that specific group. For example, a team of Correctional Officers may demonstrate outstanding service to the BOP and be recognized by receiving a group incentive. Some monetary awards given to a group of employees may vary in amount. "In determining the amount of a group award, the value of the contribution should be evaluated first, and the amount divided among the group members, either equally or in proportion to the contribution of each member. An exception may be made when the amount to be shared would be too small to be meaningful and motivating."' Please note, some incentives and awards can only be given to an individual, not a group (e.g., Special Achievement Award for Sustained Superior Performance), whereas others moy be given to an individual and a group (e.g., Superior Accomplishment Award based on Special Acts or Service). Monetary and Non-Monetary Incentives and Awards Currently Offered Both monetary and non-monetary incentives are offered at the Bureau. Monetary incentives are associated with a financial benefit to the receiving employee or group of employees (e.g., cash bonus, quality step increase), whereas non-monetary incentives do not have a financial benefit to the receiving employee or group of employees (e.g., letter of commendation, Public Service Award). The types of monetary and non-monetary ' National Incentives Program Statement 13 EFTA00141431

14 incentives are listed below and are considered part of the Menu of Options (Figure 6) presented in the Playbook: Monetary: 1. Quality Step Increases (QSI) - Additional within-grade increases that augment an employee's basic pay and reward future performance. Only GS employees are eligible for C1515. 2. Above Minimum Rate (AMR) - allows for the appointment of an employee at a salary rate above the minimum step of the qualifying grade for superior qualifications (or special need). The rate cannot exceed a candidate's existing pay by 20% and must be approved by the Bureau Personnel Director prior to entry on duty date. 3. Special Achievement Award for Sustained Superior Performance (SSP) - Lump sum cash award, up to 15% of the awardee's base pay, granted to recognize an employee's consistent performance that exceeds normal job expectations for a period of at least six months. Only individuals are eligible to receive this award. 4. Factory Gainsharing Award — Rewards specific factories within the Federal Prisons Industries, Inc. and provides a group cash award to employees at specific factories. 5. SES Performance Awards (Bonuses) — Rewards excellence over a one-year performance cycle for SES appointees. These bonuses can be between 5% - 20% of a recipient's basic annual pay. 6. Referral Bonus — Rewards recruitment efforts of employees in the form of a cash award. Executive Staff members, Wardens, Associate Wardens, Human Resource Management staff, and any employees involved in organized recruitment activities are excluded from recruitment incentives. All other employees are eligible. a. If an employee recruits a new employee into a hard-to-fill position at the BOP, they are eligible to receive up to a $250 cash award after the new employee successfully completes one year of service with the Bureau. b. For all other positions, employees are eligible to receive a $150 cash award for recruiting a new employee. 7. Retirement Incentive - Employees eligible to retire through the end of 2022 may be able to receive a retention incentive to continue working. For more information, please check with the BOP's policy on retirement-eligible and retirement-mandatory categories. In addition, the percentage of the incentive may increase each year the individual remains employed beyond their retirement eligibility date, upon annual approval to continue the incentive:8 a "Retention Incentive for Retirement Eligible Stoff"(bop.gov) 14 EFTA00141432

15 Date of Retirement Eligibility Retention % Eligible For Prior to 2019 8% 2020 7% 2021 6% 2022 5% Figure 4 Non-Monetary: 1. Letters of Commendation — Given for a one-time or non-recurring contribution by an employee or group of employees, signed by the individual's appropriate leadership. 2. Time Off Awards (TOAs) — Grants time off without charging leave or loss of pay to an employee or a member of a group. TOAs are intended to recognize superior accomplishments or other personal efforts that contribute to BOP's mission. TOAs are used to recognize contributions that are of a one- time, non-recurring nature and may also be used to recognize sustained high-level performance. These awards can be offered to both individuals and groups. 3. Student Loan Repayment — Eligible employees are offered a lifetime maximum student loan repayment amount of $60,000, or a maximum annual repayment amount of $10,000 each year, per OPM guidelines. 4. Annual Leave Credit — Utilized to credit prior work experience towards an employee's annual accrual rate. 5. Honorary Service Medals — Provides honorary recognition to employees for significantly contributing to the mission. Examples of these types of awards include but are not limited to the following: a. BOP Distinguished Service Medal (BOP DSM) — Presented to an individual who has realized the highest level of achievement. b. BOP Meritorious Service Medal (BOP MSM) — The second-highest non-cash award given to an employee for contributions in care and custody. c. BOP Commendation Medal (BOP CM) — Presented to an individual who has demonstrated dedication greater than an average employee through high quality work, unique approaches, or noteworthy technical contributions significant to a limited area. Monetary recognition may also be considered in addition to this award. 6. Public Service Awards — Given to private citizens and organizations whose outstanding acts have made significant contributions in improving the activities of the BOP and the Bureau's functions, services, and/or operations. These awards are presented as Public Service Award Certificates or BOP-produced plaques. 7. Correctional Workers' Week Observance — A full week during the year that the BOP recognizes the contributions of Correctional Officers and all other correctional employees. 8. Gainsharing Travel Savings Award Program — Rewards employees who intentionally save the BOP money when traveling via frequent flyer accounts, credits, etc. Program members may receive future discounted travel benefits. 15 EFTA00141433

16 9. Bureau-wide Awards — National recognition of employees who have demonstrated superior accomplishments during the year. There are 29 categories of Bureau-wide awards, including Director's awards. Figure 5 shows all Bureau-wide awards. 10. Career Service Insignia (Pins) — Recognizes and rewards employees for their years of service to the BOP. All employees are eligible to receive a pin upon five years of service to the Bureau and for each additional period of 5 years (i.e., 5 years, 10 years, 15 years, 20 years). 11. Career Service Certificate — Recognizes employees for their years of service to all creditable Federal Government agencies (e.g., the military). These awards are particularly significant for employees who transferred between agencies. 12. Significant Accomplishment Awards for Transfer or Separation — Recognizes an employee's individual contribution to a specific facility at a time of transfer or separation. 13. Retirement Plaques — Given to all employees who retire from the BOP. 14. Retirement Mantle Clock — Given to all employees who retire from the BOP. 15. Retirement Letters — Congratulatory notes from the BOP Director and the President. 16. Retirement Badge — Recognizes the service of employees by embossing their badge in a special casing upon retirement. 17. Recognition for Service of Deceased Employees — Recognizes the service of deceased employees. 18. Public Health Service (PHS) Commissioned Officers Awards and Decorations — Recognizes United States Public Health Service (USPHS) employees who are otherwise not eligible for monetary or Time Off Awards. There are many types of these PHS Commissioned Officers Awards and Decorations in the forms of medals, citations, commendations, and ribbons. For the full list of PHS awards, please refer to the National Incentives Program Statement.' 19. Attorney General Awards — Announced by the Department of Justice with final selections made by the Department of Justice Awards Committee. 20. The President's Award for Distinguished Federal Civilian Service — The highest honor the federal government can bestow upon a career employee to recognize exceptional achievements that are of tremendous benefit to the Nation. Bureau-Wide Awards and Criteria Name of Award Criteria Sanford Bates Award Non-supervisory employee who showed courage or risk of life in an act James V. Bennett Award Supervisory or management employee who showed courage or risk of life in an act Myrl E. Alexander Award Employee who is instrumental in new technique development or implementation Norman A. Carlson Award Employee who has shown excellence in leadership J. Michael Quinlan Award Employee who has taken active steps to promote the concept of "Bureau family" Kathleen Hawk Sawyer Award (Employee) Employee who demonstrates high standards of public service by stimulating progress in the BOP Kathleen Hawk Sawyer Award (Management) Management staff who is committed to ensuring accountability and excellence in their area of responsibility Harley G. Lappin Award Employee who exemplifies resiliency and commitment to goals of re-entry and skills- building for offenders Charles E. Samuels Jr. Award Employee who furthers the mission by maintaining productive working relationships through partnerships with labor and management Mark S. Inch Award Employee who acknowledges importance of military service in furthering the agency's mission 16 EFTA00141434

17 M.D. Carvajal Award Employee who values the importance of improving employee skills through delivery of training Director's Equal Employment Opportunity Award (EEO)/Affirmative Employment Award Granted to managers and supervisors for outstanding contributions to advancing EEO, to EEO Officials who demonstrate effectiveness, or to an employee whose work is not directly related to EEO but advances equal opportunity Director's Special Recognition Award Recognizes any contribution that has a significant impact on any area within the Bureau at any level New Warden of the Year Award Wardens with 1 year or less who effectively manage a facility by providing a safe and secure environment for all Excellence in Prison Management Wardens with outstanding contributions in the overall management of staff, inmates, and general operations Regional Director's Award Recognizes employees at all levels who have made specific contributions to the effectiveness of the Bureau (one staff member per region) Regional Director's Special Recognition Award Employees from any level whose work performance clearly deserves national recognition The Maryellen Thoms Assistant Director's Award for the Health Services Division Recognizes on-the-job excellence among employees whose contributions positively impact HSD, Food Services or Safety Dr. Thomas R. Kane Award for the Information, Policy, and Public Affairs Division Recognizes on-the-job excellence among employees who have made significant contributions in their field of technology Assistant Director's Award Recognizes on-the-job excellence among employees in their field (one per division: ADM, PRD, CPD, FPI, HRMD, OGC, RSD) Special Recognition Award Employees from any level whose work performance clearly deserves national recognition (one per division: ADM, PRD, CPO, FPI, HSD, !IRMO, IPPA, OGC, RSD) Figure 5 Additional types of non-monetary incentives offered by the BOP include, but are not limited to the following: a. Employee's picture in a prominent location b. Letter of commendation from Warden c. Reserved parking space d. Monthly and Quarterly events to build team cohesion and boost morale (e.g., bowling, cookouts) e. Family events (e.g., new Correctional Officer swearing in ceremony, potlucks) to include employees' families "Staff appreciation meals, ice cream trucks, coffee trucks, they help boost morale and it's a breath of fresh air when you hear there are these things." — Stay Interview Participant, MXR Nurse The following awards can be monetary and/or non-monetary offerings: 1. Superior Accomplishment Award based on Special Acts or Service — The monetary award is a lump sum cash award given for a one-time or non-recurring contribution by an employee or a group of employees. The non-monetary award is a letter of commendation. All employees are eligible for this type of award and there is no limit to the number of awards that an individual can receive in a certain period. 2. Superior Accomplishment Awards for Adopted Suggestions — Given to employees who suggest new ideas that benefit government operations, such as process improvement ideas. The award may result in either a cash award up to $250 or an appreciation letter issued to the recipient. 17 EFTA00141435

18 3. Local Awards — These have been implemented at some but not all institutions. The following is a list of some examples of local awards: a. Employee of the Month, Quarter, Year b. Supervisor of the Month, Quarter, Year c. Rookie of the Month, Quarter, Year d. Correctional Officer of the Year e. Extra Effort/Extra Mile/Extra Step at the Institution Award f. Honor Graduate of Federal Law Enforcement Training Center (FLETC) for Introduction to Correctional Techniques (ICT) 8. Superior Accomplishment Award for Foreign Language Skills — Given to reward employees who significantly contribute to the orderly running of the BOP through their use of foreign language skills. This award may be monetary, with a lump sum award of up to 5% of the grantee's base pay provided. 9. Distinguished and Meritorious Executive Awards — The most prestigious awards to career Senior Executive Service (SES) members to recognize extraordinary long-term achievements. These awards entitle the recipients to cash awards of 25% - 35% of basic annual pay and may also contain a gold pin and framed certificate signed by the President. 10. SES Superior Accomplishment Incentive Awards — Given at any time when circumstances warrant recognition to recognize a suggestion, invention, or special act that has a significant, tangible impact on the BOP. 11. Other Awards — These awards are based on outside requests from different organizations (i.e., The American Correctional Association, Federal Law Enforcement Officers Association, North American Association of Wardens and Superintendents). The Assistant Director of HRMD will announce the nomination as each organization sends its request, then establish timelines to comply with each request. Institutions much obtain the Warden's approval before submitting any nominations. The BOP also partakes in the following outside awards programs: National Defense University's National War College, Roger W. Jones Award for Executive Leadership, Women in Federal Law Enforcement, Presidential Public Safety Medal of Valor Award, OPM Pillar Award and the Justice Tom C. Clark Award. 18 EFTA00141436

19 New Incentives and Awards Offerings In addition to what the BOP has historically offered employees for both monetary and non-monetary options, the Bureau is always looking for new ideas and new incentives to better support and retain employees. The new offerings below, alongside the currently offered incentives and benefits mentioned in the previous section, make up what is called the Employment Incentives and Awards Menu of Options (Figure 6), a resource that all levels of leadership can refer to when trying to determine the most effective way to recognize and retain employees. The following incentives are part of the Menu of Options and are either new ideas or have historically not been offered across the BOP in a standardized method: • Recruiter of the Month, Quarter, Year Award — This is an offering that can be either monetary or non-monetary to recognize and reward a recruiter's excellent impact and service to the BOP. Recruiters and Human Resource Manager (HMR) employees would be eligible to receive this reward if they surpass recruitment goals for a certain time (e.g., month, quarter, year). A monetary award of this type could be a cash award of up to $250 to the recruiter who recruits the highest number of new employees. A non-monetary award of this type could be the recruiter's picture at the institution or in the newsletter, sharing the recruiter's impact to the institution and BOP. • Compressed Work Schedules (CWS) —This is a non-monetary offering for all appropriate positions at the BOP. Full-time employees may complete their 80-hour biweekly work requirements in fewer than 10 days, when the situation is assessed to not pose an adverse impact on the BOP. In addition to Compressed Work Schedules, the Bureau is also exploring Hybrid and Flexible Work Opportunities for options including remote work. Due to the uniqueness of the BOP's mission, not all employees and positions would be eligible for remote work, however the Bureau may evaluate this as a potential future incentive offering. • Local Executive Staff Meeting Invite — This is a non-monetary offering to give employees insight into how the local Executive Staff operates. By inviting an employee to attend an Executive Staff meeting, they may feel more valued and present in decisions that impact their workplace and peers. • Handwritten Thank You Note - This is a non-monetary offering to reward and recognize employees for any special contribution or act of service to benefit the BOP, such as volunteering to cover for a team member. Stay Interview findings show that genuine, timely, and specific appreciation notes from leadership have a lasting impact on making employees feel valued and cared for. • Lead Peer Group or Training - This is a non-monetary offering to reward employees with leadership opportunities when they present such potential and interest. Giving an employee the opportunity to lead helps recognize their contributions while making them feel valued. "[From my supervisor] I just want a simple email that says I recognize you, you have improved, and you're doing great. That would help me a lot, instead of only hearing from them when something goes wrong." — Focus Group Participant, FCI Otisville Employee 19 EFTA00141437

20 Menu of Options Table (includes all monetary and non-monetary incentives currently offered at the BOP and suggested via this incentives Ploybook). Leaders can refer to this Menu of Options (Figure 6), which includes currently offered incentives and benefits as well as new ideas, when trying to determine ways to motivate and retain their employees. It is important to keep in mind that the BOP's current approval processes are still in place for all offerings and leadership must still go through the appropriate channels. See the National Incentives Program Statement? for full details on the BOP incentives and awards approval processes. For example, monetary incentives beyond the allotted institution level amount must be submitted to the Regional Office. Leaders must also keep in mind the feasibility of a certain incentive at their institution and refer to their budget (See Budget Considerations), staff vacancies, and other considerations before offering an award from the Menu of Options. 20 EFTA00141438

21 Employment Incentives and Awards Menu of Options Name Description Monetary or Non-Monetary Group or Individual Current or New? Quality Step Increase (QSI) Additional within-grade increases that augment base pay Monetary Individual (GS I employees only) CurrentlyOffered Above Minimum Rate (AMR) Appointment of an employee at a salary rate above the minimum step of the qualifying grade for superior qualifications or special need Monetary Both I CurrentlyOffered Special Achievement Award for Sustained Superior Performance (SSP) Recognize consistent performance that exceeds normal job expectations for a period of at least six months Monetary (Lump Sum) Individual CurrentlyOf vi Factory Gainsharing Award Rewards factories within the Federal Prisons Industries, Inc Monetary (Group Cash Award) Group CurrentlyOffered SES Performance Awards (Bonuses) Rewards excellence over a one-year performance cycle for SES appointees Monetary (Between S - 20% of base pay) Individual CurrentlyOffered Letters of Commendation Rewards one-time contribution by an employee or group of employees Non-Monetary (letter signed by appropriate leadership) Both CurrentlyOffered Time Off Awards (TOM) Grants time off without charging leave to recognize superior accomplishments Non-Monetary Both Currently Offered Student Loan Repayment Provides employees a maximum lifetime amount of $60,000, or maximum annual repayment amount of $10,000 each year, per OPM guidelines Non-Monetary Individual Currently Offered Annual Leave Credit Utilized to credit prior work experience towards an employee's annual accrual rate Non-Monetary Individual CurrentlyOffered Honorary Service Medals Provides honorary recognition for significantly contributing to the mission Non-Monetary Individual CurrentlyOffvi Public Service Awards Given to private citizens and organizations for outstanding contributions to the Agency Non-Monetary (certificates or plaques) Individual CurrentlyOffevtl Bureau-wide Awards (Director's Awards Included) Nationally recognizes superior accomplishments during the year Non-Monetary Individual CurrentlyOffered Career Service Insignia (Pins) Recognizes employees for their years of service to the Agency Non-Monetary (Pins for S-year increments) Individual CurrentlyOffered Significant Accomplishment Awards for Transfer or Separation Recognizes an employee's individual contribution to a specific facility at a time of transfer or separation Non-Monetary Individual Currently Offered Retirement Plaques Given to all employees who retire from the Agency Non-Monetary Individual CurrentlyOf vi Retirement Letters Congratulatory notes from the Director of the Agency and the President, if eligible Non-Monetary Individual CurrentlyOf vi Retirement Badge Recognizes the service of employees by embossing their badge in a special casing Non-Monetary Individual CurrentlyOf vi Recognition for Service of Deceased Employees Recognizes service of deceased employees Non-Monetary Individual CurrentlyOffered Public Health Service (PHS) Commissioned Officers Awards and Decorations Recognizes USPHS employees who are not eligible for monetary or TOM Non-Monetary (medals, citations, commendations, ribbons) Individual CurrentlyOffered The President's Award for Distinguished Federal Civilian Service Highest honor federal government can bestow upon a career employee to recognize exceptional achievements Non-Monetary Individual CurrentlyOf vi Superior Accomplishment Award based on Special Acts or Service A lump sum cash award given or letter of commendation for a one-time contribution Monetary or Non-Monetary, Budget permitting Both CurrentlyOffered Local Awards (Institution-Based) Employee of the Month, Supervisor of the Quarter, Rookie of the Year, CO of the Year Monetary or Non-Monetary, Budget permitting Individual CurrentlyOffered 21 EFTA00141439

22 Superior Accomplishment Award for Foreign Language Skills Rewards employees who contribute through their foreign language skills Monetary or Non-Monetary, Budget permitting Individual Currently Offered Distinguished and Meritorious Executive Awards The most prestigious awards to career Senior Executive Service (SES) members to recognize extraordinary king-term achievements Monetary (25% - 35% of base pay award) & Non-Monetary (gold pin and certificate signed by the President) Individual Currently Offered SES Superior Accomplishment Incentive Awards Recognition of a suggestion, invention, or special act that has a significant, tangible impact Monetary , & Non-Monetary, Budget permitting Individual Currently Offered Recruiter of the Mouth, Quarter, Year Award Recognizes recruiter's excellent impact on institution/region recruitment goals Monetary (up to $250) or Non- Monetary (picture at the institution/in newsletter), Budget permitting Individual New suggestion with Incentives Playbook Local Executive Staff Meeting Invite Inviting an exceptional employee to attend an Executive Staff meeting to give insight on how leadership operates Non-Monetary Individual New suggestion with Incentives Playbook Handwritten Thank You Note Recognizes employees for any special contribution or act of service Non-Monetary Both New suggestion with Incentives Playbook Lead Peer Group or Training Rewards employees with leadership opportunities when they present such potential Non-Monetary Individual New suggestion with Incentives Playbook Figure 6 Please reference the Notional Incentives Program Statement on Sallyport for more information, special considerations, and a full list of incentives offerings.' 22 EFTA00141440

23 Section Three: Goals and Considerations Measuring Success: Goals and Performance Metrics Establishing performance metrics and goals will enable the BOP to better assess the outcomes of its incentives usage. Systemically evaluating performance metrics will provide Bureau leaders with the insights needed to better determine if the incentives are working as intended or if the resources would be more effectively spent elsewhere. Performance Measurement Approach Defining goals is the first step to better tracking and evaluating the return on investment of the BOP's incentives. Various qualitative and quantitative data sources (i.e., employee surveys, FEVS survey, focus groups, stay interviews, exit interviews, incentives tracking) can be utilized to form a holistic understanding of the BOP's retention. The following steps outline the Performance Measurement Approach, while Fiqure 7 shows the foundation for establishing, tracking, and evaluating effectiveness of incentives goals. 1. Define — Identify key goals, outcomes, and metrics to evaluate success for the incentives program. 2. Track - Iteratively track and measure performance by capturing data on well-defined metrics. 3. Evaluate - Evaluate performance at the end of the year to determine if BOP met its goals. PERFORMANCE MEASUREMENT DEFINITIONS Goal Goals define the criteria which determines overall success and supports realizing a future state Outcome Outcomes capture performance and progress, measuring achievement of goals and informing overall success Metric Metrics are a combination of precise qualitative and/or quantitative measurements or indicators that provide insight into current performance Figure 7 23 EFTA00141441

24 Performance Metrics The standardized metrics and data definitions below (Figure 8) can be applied to all of BOP's workforce, specific workforce groups (e.g., Correctional Officers, New Hires, and Nurses), and/or specific locations (e.g., all institutions in the Mid-Atlantic Region, Western Region). Metrics Staffing Levels The number of positions filled divided by the number of authorized positions. Turnover Rate The number of separations divided by the number of staff at year end, based on calendar year data. Retention Rate The number of employees who remain employed at BOP (i.e., are on the payroll) for a certain time period, based on calendar year data. Incentives Awarded The number of monetary, non-monetary, and/or other types of awards given to an employee during a certain time period. Baselines Historical Retention Rate Uses historical data (i.e., the last five fiscal years' data) to calculate a Historical Average Retention Rate. This historical average becomes the baseline for comparing future years' retention rate against. Historical Turnover Rate Uses historical data (i.e., the last five fiscal years' data) to calculate a Historical Average Turnover Rate. This historical average becomes the baseline for comparing future years' turnover rate against. Figure 8 Comparing metrics to historical rates for baselines, also called a steady state, is preferable to a strict year-over- year comparison because it compares progress to a healthy range or threshold. This approach better accounts for outliers (e.g., comparing data from the year before COVID-19 to COVID-19 data would not present a fully accurate comparison). Incentives Playbook Goals In March 2023, a group of Assistant Directors (ADs) and Regional Directors (RDs) participated in a working session to identify and prioritize goals to evaluate the effectiveness of awarded incentives. As an output of that session, the ADs and RDs prioritized the following goals for the first version of the Incentives Playbook: 1. Increase overall employee retention by 5% compared to historical retention rate. 2. Increase Correctional Officer retention by 10% compared to historical retention rate. 3. Increase New Hire retention by 10% compared to historical retention rate. 4. Increase Nurse retention by 10% compared to historical retention rate. Additional recommendations included: tracking retention rates of employees who received any type of incentive (monetary or non-monetary); addressing staffing challenges for Correctional Officers to mitigate any trickledown effects on other workforce segments. Tracking will further enable the BOP to assess what, if any incentives given to employees are effective at retaining them over time, while focusing on Correctional Officers may limit an increase in augmentation for other departments such as non-custody employees. Implementation, Tracking, and Evaluation Currently the Staffing and Employee Relations Section (SERS) tracks usage of recruitment, retention, and relocation monetary incentives. These incentives could be for a segment of the workforce (e.g., Correctional Officers), a specific department (e.g., Human Resource), or the entire institution. Requests for individual and group retention incentives have greatly increased in the past few years at the BOP. For all non-monetary 24 EFTA00141442

25 incentives (e.g., Quality Step Increases (QSIs), Time Off Awards, Director Awards), tracking is performed at the institution-level and funded by the Warden's budget. The incentive approval process is initiated when the Warden or HRM submits a request for an incentive. The graphic below provides an overview of the process, to include awards that exceed the BOP or OPM threshold. (Figure 9). Overview - Incentives Approval Process A look at the incentive approval process for an individual or group of employees at BOP. warden/HRM submits incentive request and justification to Regional Office Repoli Office mates request Regional Office staff conducts analysis (reviews turnover trends. staffing levels, recruitment efforts for role) and unites a letter Jusufying the incentive and how it helps the institution. Regional Office sends request and analysts to SERS SIRS rev4,n,, request SERS reviews the analysis packet from Regional Office and conducts their own analysis. SERS does not approve the re0lleSf. Region° I Office is rat tied. SERS sends request to Personnel Directors Office (PDO)and HRMO for approval HRhID sends equest to IIOR Director After review, the Director will grant a final approval through a written memo. • BOP sends the request to DOj for approval if: >25% increase to the base salary or >to% for groups 0PIA approved may else be required in some costs. Figure 9 As the incentive request continues through the approval process, more data and reports are included in the request to substantiate the approval. For example, if the incentive requested is due to a higher cost of living in the area, then information about the area such as trends in home values and comparison of salaries to state law enforcement is gathered and attached to the request. Other information shared may include the institution's turnover rate and available exit survey data. A report is also provided by the Consolidated Staffing Unit (CSU) which outlines hiring activity; this report may show how many candidates were reviewed for the position, and how many were ultimately hired. Once the request has been approved, it gets keyed into the National Finance Center (NFC) system which adjusts the payroll for the specific individual(s) impacted by the incentive. For requests that would result in an increase larger than 10% of the employee's base salary, a service agreement is required to ensure the impacted individuals continue to be retained at the institution. To continue the retention incentive, the Warden or HRM submits a yearly continuation request for approval, which confirms the impacted employee remains in the same position and location they received the incentive for. If the employee has changed positions (through a transfer, lateral move, or promotion) or has relocated to a different institution or office, 25 EFTA00141443

26 the incentive is terminated immediately for that individual. SERS collects data around the number of institutions that have requested incentives, how many requests are pending review, and how many have been either approved or disapproved. For historical retention data, the Personnel Director's Office (PDO) collects and tracks data about employees who have left, resigned, or retired from the BOP. The BOP has set thresholds which, once reached, require incentives requests be submitted for higher-ranking approval from DOJ and OPM (See Chart D). While these incentives request forms are standard across the BOP, the way in which each institution tracks incentives at their level varies. To better understand where the Bureau stands with incentives, and how to maintain the most effective usage of each type, it is recommended that the BOP moves forward with tracking through these steps: 1. Invest in standardized tracking for all levels of the BOP. The Incentives Playbook provides a tracking template in Microsoft Excel, which can be downloaded and utilized by Wardens and HRMs to log each type of incentive they offer to employees. Utilizing the template will improve the standardization of data collection across all 122 institutions. 2. Require an annual report from each institution surrounding incentives provided to employees. The Incentives Playbook tracking template provides a row for each detail of an incentive: the name of the award, type of award, amount received (if monetary), and the job series of the recipient. It is recommended that each institution compile this data and submit to their Regional HRA on a yearly basis. The HRAs should compare from past reports (when applicable) and analyze for any significant datapoints or trends and submit their findings to Central Office. 3. Utilize the information collected above to create a database. This will serve to resolve current gaps in information and provide insights into who is being incentivized most and what types of incentives are most effective in retaining critical employees. Additionally, having an accessible source for data would further drive transparency and standardization of how incentives are distributed. Barriers and Considerations When implementing, tracking, and evaluating the success of incentives goals and their effectiveness, several barriers and considerations should be kept in mind. The following barriers should be considered during implementation: • Financial constraints impact how a Warden can provide monetary incentives for a group or individual since most awards at the institution level (e.g., Time-Off Awards, Cash Awards) are funded by the Warden's authorized budget. • Operational limits impede whether an incentive can be offered. For instance, if an institution is undergoing major mission changes or is severely understaffed, there may not be bandwidth for leadership to recognize their employees in a timely manner (i.e., writing a thank you note or displaying a picture of a star employee). The Stay Interviews conducted during October - December 2022 demonstrate that employees view specific and timely appreciation as the most valuable form of appreciation, making it imperative to consider how to enable this behavior despite limited leadership bandwidth. • Data infrastructure and governance is critical to maintaining effective tracking and evaluation of goals and metrics. Currently, the BOP has different reporting methods for different types of incentives which makes it difficult to create a holistic understanding of how incentives usage is or is not impacting staffing levels/desired outcomes. • Limited data availability can hinder tracking and evaluating. Significant amounts of data are required to be able to accurately assess whether an individual or group has been impacted by an incentive offering. For instance, the BOP reports a 5% completion rate in exit surveys distributed to employees 26 EFTA00141444

27 leaving the BOP. This is not a sufficient source to solely determine if an incentive offered was effective at reducing employee separation or not, which may require the BOP to invest in collecting qualitative data (e.g., Stay Interviews) to supplement existing data. • Limited standardization of data collection impacts the BOP's ability to understand what incentives are being offered and how effective they are at motivating and retaining employees at the institution level. This includes having up-to-date reports, an established quality check system, and a plan for consistent data analyses. If each institution tracks incentives usage similarly, there is a higher likelihood for the data to be kept in one place and used for finding trends, tracking spending, and justifying needs to external stakeholders. 27 EFTA00141445

28 Budget Considerations Other important considerations for playbook implementation are the spending limits of incentives as put forth by OPM, budget considerations at all levels, locations and training centers, and the anticipated costs of implementing new offerings. It is important to remember that the Bureau's overall budget each year may fluctuate based on what is deemed appropriate by Congress, which will affect the level of funding available to use towards employee incentives. OPM Incentives Guidelines Federal agencies are required to abide by a variety of policies set forth by OPM, including those around creating and distributing incentives. Above a certain spending threshold, approvals for incentives usage must go through OPM. A report and justification for any incentive approved at the BOP must be sent through the Staffing and Employee Relations Section (SERS) to Dal and then OPM for final processing and records management. The federal management organization also requires reports from BOP annually, to include the number of incentives offered across the BOP and the total amount spent on incentives overall and for each type. The BOP has internal processes for giving out incentives up to the OPM threshold. Starting with recruitment, the allotted amount that can be offered is up to 25% of the individual's base salary, complete with a two-year service agreement if it is for an individual or a one-year service agreement if it is for a group. For a relocation incentive, an individual must agree to a two-year service agreement and the BOP may offer up to 25% of the person's base pay. Finally, for retention, the Bureau can offer up to 10% of base pay as an incentive for a group and up to 25% for an individual. While an individual with a retention incentive is not subject to a service agreement, a group that is offered over 10% is required to agree to a one-year agreement.' Institution-Level Budget Incentives offered from the Warden come out of the institution's operational costs, and while it is generally 25% of their budget, funding available for incentives can vary by institution. The Administration Division utilizes a formula that helps provide the appropriate amount of money that Wardens should use for incentives. Beyond that, use of funds for incentives is at the discretion of the Warden. It is important to note that most incentives are situation-based when it comes to how much can be offered and how frequently. For example, Wardens have an annual limit on offering OSIs. The budget available for monetary incentives may fluctuate for various reasons, such as the facility's staffing vacancies (i.e., if an institution is understaffed and the formula is based on the number of employees, they may have a lower budget for incentives). It is recommended that BOP consider institution-specific challenges (e.g., desirability of the location of institution and cost of living) when administering the budget. For more examples, see the "Location of Institution" as defined in Criteria to Identify Hiqh-Risk Groups. 9 Program Statement 3051.04, Bureau of Prisons Awards Program, Incentive Awards (bop.gov) 28 EFTA00141446

29 Cost of Current Incentives In the last five years (FY 2017 - FY 2021), BOP spent over $193M on incentives. An overwhelming majority of that total spending was focused on retention incentives, which were utilized to motivate and retain employees. As of December 2022, 39 locations were offering at least one type of retention incentive, with another 10 locations awaiting group retention incentive approvals from OPM. While monetary incentives are appreciated by employees, the BOP does not currently track whether those incentives are effective. As the Bureau plans a path forward, it is necessary to consider the potential cost of new offerings and how they may be applicable for each institution and across the BOP. Cost of Implementing New Incentives The below incentives and benefits offerings are suggestions to the BOP, as uncovered with the development of the Incentives Playbook. Before a Warden, Regional Director, or Central Office offers these to their employees, it is important to understand the cost of each one: • Local Executive Staff Meeting Invite - This no-cost offering allows for an exemplary employee to see "behind the scenes" of the Executive Staff operations, share ideas with leadership and be present in decisions that impact their institution. • Lead Peer Group or Training - This no-cost incentive also serves as an opportunity to develop future leaders by asking them to lead a peer group or training of value to their peers. • Handwritten Thank You Note - For the small cost of a card/envelope, this is a simple way to show appreciation for employees for their contributions of any size, such as volunteering for overtime or taking on an additional duty. Research has found that timely and specific notes of thanks have a major impact. • Recruiter of the Month, Quarter, Year Award - This special recognition could be offered as either a monetary or non-monetary award. If the leader chooses to offer a monetary award, the cost would be up to $250 through BOP's current approval process. If this award is deemed to be a non-monetary one, leaders could highlight the individual's impact through a shout-out email to the entire institution, a photo in the institution or, if applicable, an institution or region-level newsletter sharing the recruiter's accomplishment. Focus groups, Stay Interviews and the Incentives Survey revealed new ideas around recognizing employees and making them feel valued. There are new ways to recognize employees and peers, regardless of budget, tenure, or location. Please refer to the Menu of Options (See Figure 6) to see a full list of monetary and non-monetary offerings to consider. 29 EFTA00141447

30 Conclusion Incentives are an integral part of the BOP and have been a helpful resource in recruiting and retaining talent for all institutions. While spending has increased over time, most rapidly in the last five years, there are no strict processes in place to track whether this allocation of funds is effective in helping achieve the BOP's goal of retaining critical employees. After multiple working sessions, alongside internal and external research and data gathering, three main groups emerged as high-risk of leaving the BOP (Correctional Officers, New Hires, and Nurses). Employees in these groups were selected as participants for interviews and were given an incentives survey. BOP Leaders from multiple divisions then met to determine a Menu of Options of potential incentives and benefits offerings that may be used to retain employees, alongside performance goals and how to standardize existing processes for tracking how incentives to guide leaders at every level of the BOP. The objective of this playbook and its supplemental resources is to better standardize how leaders approach, distribute, and track all types of recognition and incentives. Trainings and communications have been provided to ensure Central Office leaders, Regional Directors, and Wardens are most effectively using this resource and providing transparent information to employees around incentives offerings. Additional Incentives and Awards for Future Consideration The Bureau is committed to investing in the support and retention of its people. HRMD is taking steps to consider what could be added to future versions of this resource, which will be best informed from leaders utilizing the Incentives Playbook. The BOP is exploring several incentives that cannot be offered today, including the following ideas, which hold varying levels of effort as informed by Phase 3 working sessions and may require DOJ, OPM, national union or Congressional approval: 1. Childcare Subsidy — This could be a monetary or non-monetary offering available to all employees. A monetary example would be giving an employee a certain monthly allowance toward childcare costs (e.g., $500 per month). A non-monetary example would be an institution offering childcare services through partnership with a local daycare center. This has a medium level of effort for the BOP to implement and would require a further analysis of policy and any legal or safety considerations required to successfully implement a childcare subsidy program. 2. Attendance Award — This is a monetary offering to recognize and reward an employee's consistent and quality attendance record. Often employees may call out unexpectedly and miss work, so it's important to recognize those employees who show up regularly. One example is to give a cash award for up to $250 for excellent attendance (e.g., one quarter without absence, etc.). This has a medium to high level of effort for the BOP to implement and would require a memo from the Director and possible Department of Justice and/or OPM approval. 3. Well-Being Subsidy — This is a monetary offering to recognize and reward an employee's excellent service to the BOP. One example is to offer this subsidy is by allocating $100 to each employee specifically for well-being use. This can be for meditation apps, yoga mat, or gym classes. The subsidy could be applied to other aspects of well-being, such as physical well-being (e.g., to buy at-home gym equipment), financial well-being resources (e.g., an online class on how to save for retirement), or mental well-being resources (e.g., buying a subscription to a meditation app). Further research is recommended to determine the level of effort, necessary approvals to implement, and vetting in proper channels. 30 EFTA00141448

31 4. Housing Allowance —This is a monetary offering to provide temporary housing options for all employees for a period of up to 18 months after relocating for a new position within the BOP. Further research is recommended to determine the level of effort, necessary approvals to implement, and vetting in proper channels. 5. Vouchers toward Training or Trade School — This is a monetary offering to reimburse or cover the cost of an employee's external, vendor-led training, or trade school program. This offering would be valuable to employees who want to grow certain skills that are not offered by the BOP's in-house training programs. For example, an employee who wishes to get certified in First Aid may use this voucher to cover the cost of the certification program. Working alongside the Learning and Development Division to confer with their Needs Assessment is necessary to determine the level of effort, necessary approvals to implement, and requests for additional funding. 6. Student Loan Repayment Expansion — While BOP currently provides this non-monetary offering to eligible employees, other federal agencies offer alternatives to help recruit and retain employees that may be worth considering. For example, through the VA Mission Act of 2018, the Department of Veteran Affairs (VA) offers financial support in exchange for post-residency service at the VA through the Health Professions Scholarship Program (HPSP) and the Specialty Education Loan Repayment Program (SELRP) scholarship programs. The HPSP offers 50 annual scholarships for medical or dental students, and in exchange, recipients must provide 18 months of service for each year of funding. The SELRP is aimed at physician residents, with the goal of providing the VA with needed medical specialists and locations. Each year of service qualifies for $40,000 a year in loan repayment. This program requires that the recipient successfully complete residency leading up to a specialty applicable to the VA, obtain a license in any state, and agree to serve at the VA for the required number of years at a determined location. 31 EFTA00141449

32 Section Four: Making it Happen Points of Contact and Ways to Provide Feedback Human Resource Administrators (HRA) and Regional Directors: Please contact the Personnel Director's Office with any questions or concerns about the Incentives Playbook. Human Resource Managers and Wardens: Please contact your Regional Human Resource Administrators with any questions or concerns about the Incentives Playbook. Appendix A. Stay Interview Major Themes Stay Interview Results Theme Definition Recognition Acknowledging a service or task well-done as a means of appreciation Work Environment The setting and conditions of where an individual completes their daily work and its impact on their mental and physical well-being Career Development The process of growing one's skillset and knowledge to meet short and long-term goals Training Opportunities, either required or provided, to prepare an individual for a general or specific role in the workplace and further their career Staffing Needs The amount of people needed at an organization to balance tasks and fulfill a specified role or mission Benefits A payment or gift provided, beyond salary, through an employer for additional support Pay Money or a salary given to an individual for employment or completing a job Chart A 32 EFTA00141450

33 B. Incentives Survey Results (25.9% Completion Rate) Incentives Survey Results Monetary Incentive Percentage Voted Award for Consistent Attendance 73% Acknowledgement of tenure 72% Award for High Performance 61% Vouchers towards trainings or education 33% Well-Being Subsidy 24% Referral Bonus 22% Award for working past eligible retirement age 19% Non-Monetary Incentive Percentage Voted Hybrid or flexible work opportunities (as applicable) 71% Monthly or quarterly events 62% Childcare center or reimbursement 51% Monthly or quarterly awards 45% Family events 28% Sit in on local executive staff meeting at your institution 25% Handwritten thank-you note from local leadership 15% Lead a peer event group or training 8% Online courses based on team building and leadership 8% Chart B C. Incentives Approvals Chart Roles, and Responsibilities by Leadership Level I Institution Level Wardens • Approves QSis. TOM. and cash awards up to $1.500 for all institution employees • Approves suggestions implemented at their institution • Refers suggestions to Regional Office for region.wide and Bureau. wide implementation consideration Human Resource Managers • Maintains records on awards and suggestions • Publicizes award selection • Processes awards • Sends requests for additional funding to Regional Office. Men to Central Office • Serves as central records point of contact for incentive Awards Log and Personnel Folders Department Heads & Supervisor,. • Nominates staff for awards • Progides staff evaluations Regional Level I I I • Incentive Award Planning and Review Committee (Union rep included). meet as needed Regional Directors • Approves OS's. TOM. and cash awards over $ S00 for employees • Approves of regional awards. with executive staff concurrence • Provides recommendations on all nominations for Bureau-wide awards • Approves suggestions for regionovIde implementation or referral of suggestions for bureau-wide Implementation IRA may errokIM adw regunrenn for award oppenes st ippon Human Resource Administrators • maintains records on awards and suggestions s pookiceaward selection • Processes awards Central Office • incemive Award Planning and Review Committee (Union rep included). meet as needed • BOP Incentive Awards Coordinator- focal point for Issues concerning program. coordinates collection and processing of awards Assistant Directors • Approves O515. TOM. and cash awards up to $3000 for employees In their divisions • Approves suggestions that have a Bureaumide impact • Oversees operations of incenwes Awards Program within their specific division • Approves all Bureau-wide divisional awards • Suggests awards viten their dhAsion is the lead or primarily Impacted by the implementation of the approved suggestion BOP Director • Approves awards up to $7500 to non-SES attorneys • Approves Bureau-wide awards selections • Delegates approval authority of up to $3000 to AD/RDs and up to $1500 to Wardens. Trawling Center Directors and HRSC Chief • Recommends employees for awards tnat require DOJ approval Chart C 33 EFTA00141451

34 How to Apply Criteria This section is meant to serve as a resource to understand how to apply the criteria for identifying high-risk groups (See Criteria to Identify High-Risk Groups). The checklist below consists of a series of questions derived from each criterion to help leadership quickly assess whether a group is considered high-risk. Considering the varying missions and priorities of different institutions and regions of the Bureau, this checklist is not meant to provide a definitive answer to whether a group is at risk of separating from the BOP. Please utilize leaders around you (e.g., Wardens, Human Resource Managers) to participate in working through the checklist, allowing for a comprehensive and unbiased decision. The questions should be easy to answer, and the checklist should take no longer than 10 minutes to complete. It is recommended to reevaluate the groups through this process every year in conjunction with similar reports (e.g., Turnover Report) to ensure proper identification of high-risk groups. Once completed, follow these checklist parameters: • If more than 50% of the items (7+) have been checked, then the group is likely to be high-risk. • If more than 75% of the items (11+) have been checked, then the group is very likely to be high-risk. • If 100% of the items (15) have been checked, then the group is extremely likely to be high-risk. See Current incentives and Benefits Offerings and Processes to understand ways to retain individuals in high- risk groups through monetary and non-monetary incentives. Checklist for Identifying High-Risk Groups The checklist is meant to serve as one general model for identifying high-risk groups, not the sole resource. The questions are ordered by their ranking of most impactful to least impactful, as determined by the Central and Regional Office sessions. Please note there can be multiple appropriate approaches for applying the criteria and not all questions may apply depending on the needs of the region or institution. Location of Institution: Is the cost of living considered high for this location? Location of Institution: Is the location considered a non-desirable place to live? Location of Institution: Are critical resources such as hospitals, schools, and grocery/shopping stores far? Job Market Competition: Is there local competition for the high-risk group to earn better or work better hours (including work from home option)? Job Market Competition: Is there national competition for the high-risk group to earn better or work better hours (including work from home option)? Pay: Is the salary considered below the competitive rate compared to local competition? Schedule: Is there flexibility or multiple options for setting the work schedule for this high-risk group (e.g., night shifts, holiday hours, hybrid eligibility)? Time-to-Recruit/Hire: Does it take a long time to recruit and hire for this high-risk group? Morale: Is the mental and emotional condition of the high-risk group considered low? Promotion Opportunities: Does this high-risk group have frequent opportunities to move up on the pay scale and different promotion levels? Turnover Rate: Is there a high frequency of individuals leaving from this high-risk group? Job Requirements: Does this high-risk group require additional education, licenses, or certifications to conduct their work properly? Empowerment and Authority: Does the high-risk group have little to no ability to make choices and decisions independently in their day-to-day work? 34 EFTA00141452

35 Supervisor/Manager Relationships: Does the high-risk group have a lack of qualified and strong leaders and mentors within their roles? Tenure: Does the high-risk group have either very low tenure (less than a year) or very high (eligible to retire)? 35 EFTA00141453

36 Communications The BOP should embrace proactive and frequent communications to increase awareness of the Incentives Playbook for BOP leaders at all levels (i.e., Central Office, Regional Office, Wardens, national union representatives). Sharing the purpose and goal of the Incentives Playbook with leaders will further promote use of the resource and encourage transparency around the use of incentives. It is recommended that all levels of leadership to work together to communicate to employees how this new resource aims to positively impact overall experience. The following table outlines the Incentives Playbook Communications Plan, to include the various types of communication channels suggested, objectives, intended audiences, and cadence. Channel Description Objective Audience Sender Delivery Frequency Email Incentives Playbook Awareness Increase awareness of the playbook and their role in implementation Regional Directors, Regional HRAs Central Office (Personnel Director's Office) Once to kickoff implementation Email Incentives Playbook Awareness Increase awareness of the playbook and share next steps for implementation Wardens Regional Directors Once to kickoff implementation Email Incentives Playbook Awareness Increase awareness of the playbook and share next steps for implementation Institution HRMs Central Office (Personnel Director's Office) Once to kickoff implementation Email Incentives Playbook Awareness Increase awareness of the playbook Employees Regional Directors Once at beginning of implementation 36 EFTA00141454

37 The following communications templates can be sent out from various levels of leadership to share information about the Incentives Playbook. Templates can be adjusted to match the audience. Email from Central Office to Regional Directors: Hi all, I hope you are doing well! I am reaching out to share the newly developed Incentives Playbook, a resource aiming to standardize how incentives are used to attract and retain BOP employees. To ensure its success, we need your help to implement the playbook and communicate its effectiveness. Here is more background information on the Incentives Playbook: The goal of the Incentives Playbook is to provide standardized guidance, training, and communications for varying levels of BOP leadership (i.e., Central Office, Regional Directors, and Wardens) on how to distribute incentives to employees who are at a high risk of leaving the BOP. Leadership will be able to use the Incentives Playbook to identify groups at high-risk of leaving the BOP (i.e., Correctional Officers) and easily view a Menu of Options highlighting potential incentives and benefits offerings available to those employees. Derived from Subject Matter Expert input, additional components of the Incentives Playbook include insights from employee interviews and metrics to measure the effectiveness of incentives. What's Next? HRMD will schedule training sessions to review the Incentives Playbook and how to use it. BOP leaders will be expected to refer to this resource when identifying and allocating future incentives. Thank you again for your time and commitment to investing in the future of our people. Please let us know if you have any questions. 37 EFTA00141455

38 Email from Regional Directors to Wardens: Hi all, I hope you are doing well! I am reaching out to share the newly developed Incentives Playbook from HRMD, a resource aiming to standardize how incentives are used to attract and retain BOP employees. To ensure its success, we need your help to implement the playbook at your institution and communicate about this new standardized guidance with your employees. Here is more background information on the Incentives Playbook: The goal of the Incentives Playbook is to provide standardized guidance and communications on how to give incentives to employees who are at a high risk of leaving the BOP. Leadership will be able to use the Incentives Playbook to identify groups at high-risk of leaving the BOP (i.e., Correctional Officers) and easily view a Menu of Options highlighting potential incentives and benefits offerings available to those employees. Derived from Subject Matter Expert input, additional components of the Incentives Playbook include insights from employee interviews and metrics to measure the effectiveness of incentives. What's Next? You will receive calendar invites for training on the Incentives Playbook and how to use it at your institution. Leaders will be expected to refer to this resource when identifying and allocating future incentives. Thank you again for your time and commitment to investing in the future of our people. Please let us know if you have any questions. Email from Regional Directors to Employees: Hi all, I hope you are doing well! I am reaching out to share a quick update about a new resource the Agency has developed to standardize employee incentives and awards across BOP. You can expect changes in the near future as this resource is implemented at our institution. Here is more information: Developed from employee insights through 50 Stay Interviews (November 2022) and the Incentives Survey (December 2022, 25% completion rate), the Incentives Playbook provides standardized guidance on what incentives are valued by employees and how to best present them. All leaders will use the playbook when considering the mission and challenges unique to their institution. Investing in and supporting our people is a top priority at BOP. Thank you in advance for your patience; please let us know if you have any questions. 38 EFTA00141456

39 Offering Incentives and Benefits Leaders should be genuine, specific, and timely when recognizing employees. People feel valued when they know their specific contributions impact their team's success and positively add to achieving mission outcomes. The following template outlines key information to highlight when giving an employee an award: Congratulations! You have received an award! Name of Award Here Congratulations! You have been rewarded for excellence in your work contributions. Thank you for your dedication and commitment to the Agency. he details of your award are summarized below: • Recipient Name: Employee name • Award Type: Type of award (i.e., Time off, cosh bonus, tenure pin, etc.) • Award Amount (If monetary): • Award Message: O Description of why the employee earned the award (include specific actions token) o When did they make this contribution? (ideally awarded within a month of the contribution) O How did it impact others or contribute to success? • Nominator: Name of leader nominating employee (ideally the individual's direct supervisor) f you have questions, please contact the Human Resource team for assistance. 39 EFTA00141457

40 Stay Interviews: Information and Resources Packet As part of an effort to respond to a GAO recommendation, BOP partnered with a third party to assess its current incentives and analyzed how effective they were in reducing staff attrition. From November 1 to December 1, 50 stay interviews were conducted with employees from the Mid-Atlantic and Western regions that fell under one of three "high-risk groups:" (1) Nurses, (2) Correctional Officers, and (3) New Hires. Their participation was voluntary; responses were anonymous and captured tangible ideas on how to improve the employee experience. Feedback received through interviews with individuals in the field informed the guidance in the Incentives Playbook. What is a Stay Interview? Stay Interviews are utilized by companies and organizations to understand their employees. Mainly targeted at high-performing employees, interviewees are asked for feedback on why they choose to stay where they are, what they enjoy at work, and more. BOP's Stay Interviews were conducted with high-performing individuals in one of three high-risk groups (Nurses, Correctional Officers, New Hires) and highlighted what motivates them, what monetary and non-monetary incentives and benefits are most valued by employees, and what more could be done by the BOP at all levels to retain them. It is recommended that employees at all levels are allowed an opportunity to participate in a Stay Interview to share their experiences. Why Conduct Stay Interviews? Stay Interviews are a way to provide deeper understanding of their employee's experiences as an opportunity to proactively retain and support them. The BOP hopes to identify factors of staff that are at risk of separating from the BOP, so leaders can determine steps to take to improve their experience, offer valuable opportunities and keep them. It is recommended that organizations conduct stay interviews every two years to maintain positive morale, ensure benefits offered align to what employees value, and update organization policies accordingly. Expected outcomes from Stay Interviews include: 1. An opportunity to address factors that could lead to employees leaving BOP 2. Improved policies that effect the ability to support and offer incentives and benefits to employees 3. An increase in retention within job series at high risk of leaving and across the board How to Conduct a Stay Interview Before conducting Stay Interviews, ensure that necessary stakeholders are on board. If they will be conducted at one institution, examples of stakeholders include union representatives, the Warden and Associate Warden, Human Resource Manager, and the Regional Director. If conducting interviews at the regional level, Central Office leadership is needed. After all approvals have been made gather interviewee names and schedule a 30- minute window to have an in-person or virtual meeting. Develop a facilitation guide (page 8) and questions (page 9) to guide interviewers and interviewees along the way. It is important to align your questions and structure to the objective and intended outcome of your interviews. Some interviewees may not have much to share, while others may wish to continue sharing past the allotted time; it is up to the facilitators to determine the stopping point if this occurs. Once all interviews are complete, 40 EFTA00141458

41 identify common themes or responses to inform the direction your agency or organization should go next to support and retain its employees. Communications for Scheduling a Stay Interview If you decide to conduct Stay Interviews in your region or your institution, please use the below resources to request approval to conduct interviews, gather interviewers and interviewees, and schedule interviews. It is important to obtain union approval and input prior to scheduling and conducting these interviews in your region or at your institution. Leadership should also be involved in conducting the Stay Interviews, but it is important to ensure an interviewer is not the direct superior of an interviewee (ex. Human Resource Manager should not interview Human Resource employee). Draft Emails for Inviting Interviewees & Scheduling Interviews When using these drafted emails, please ensure you update all red text to appropriately match your situation. In each email, it is recommended that the sender specifically outline the request or responsibility they are asking of the receiver. Requesting Stay Interviews (for Union Representative or Leadership to Approve) Recommended Sender: Managers, Human Resource Personnel To: Union Representative, Leadership Hi (Name), I hope this message finds you well! We would like to conduct "stay interviews" with employees in our region/at our institution to understand what motivates them, what monetary and non-monetary benefits and incentives are most valuable to them, and what we can improve upon. Feedback from these interviews will help us support and retain our people to the best of our abilities. Requesting Interviewers (from those leading interviews to gain support/assistance from regional or institution leadership) Recommended Sender: Managers, Human Resource Personnel To: Department Heads, Institution Leadership Hi (Name), I hope this message finds you well! We'd like to request your assistance leading "stay interviews" that we are conducting with employees in our region/at our institution to understand what motivates them, what monetary and non-monetary benefits and incentives are most valuable to them, and what we can improve upon. Feedback from these interviews will help us support and retain our employees to the best of our abilities. We will provide all necessary materials to conduct the interview. Each interview will have 1 interviewer and 1 interviewee and take no more than 30 minutes. Please respond with your availability the week of to facilitate interviews. 41 EFTA00141459

42 Collecting Interviewee Names (from those leading interviews to identify interviewees) Recommended Sender: Managers, Human Resource Personnel To: Department Heads, Institution Leadership, Managers Hi (Name), I'd like to request your participation in preparing for Stay Interviews, which will be conducted by during (time zone). The purpose of these interviews is to learn what employees value most and help improve our institution/region/the BOP. Please work with your local union representative to provide names and emails for high-performing employees who are available for a 30-minute interview during these times: • Date, times (specify time zone) • Date, times (specify time zone) Stay Interviews are a way to provide deeper understanding of employee's experiences as an opportunity to proactively retain and support them. BOP hopes to identify factors of individuals that are at risk of separating from the BOP, so leaders can determine steps to take to improve their experience, offer valuable opportunities them. Our interview may cover the following topics: • The individual's reason for choosing to work at BOP • What motivates them and what offerings they value most • What may cause them to leave the BOP We will reach out to as many employees as possible to conduct interviews. Thank you again for your time and commitment to investing in the future of our people. Reaching out to Interviewees Recommended Sender: Managers, Human Resource Personnel, Department Heads, Institution Leadership To: Employees Identified for Interviews Hi (Name), I hope this message finds you well! We'd like to request your participation in a "stay interview," where you will have the opportunity to share what motivates you, what monetary and non-monetary benefits and incentives are most valuable to you, and what we can improve upon at our institution/region/the BOP. Your feedback will help us support and retain employees to the best of our abilities. Your interview will take no more than 30 minutes; participation is voluntary, and responses are anonymous. Please respond with your availability the week of for an interview. Scheduling Interviews Recommended Sender: Managers, Human Resource Personnel 42 EFTA00141460

43 To: Interviewee Hi (Name), Thank you for facilitating/participating in a "stay interview!" Interviews provide an opportunity to discuss what motivates employees/you, what monetary and non-monetary benefits and incentives are most valuable to employees/you, and what we can improve upon at our institution/region/the BOP. Your interview/interviews has been scheduled for the following date(s) and time(s): • Date and time (only 1 for interviewee) • Date and time (all dates and times included for interviewers) ‘\/ 43 EFTA00141461

44 Facilitation Guide and Talking Points for Interviewers Talking Points As you conduct interviews, it is important that the interviewees understand: • Their participation is voluntary. • No information that they share will be tied back to them or used in future performance evaluations. • These interviews are being conducted to help BOP understand what you value, what you think is working well, and determine how to improve the BOP. • We cannot guarantee any specific outcomes from this conversation. Facilitation Guide Section One: Introductions The interviewer(s) should begin with introducing themselves and asking the interviewee to do the same. This is an opportunity to break the ice, learn about their time at BOP, the institution(s) they work or have worked at, etc. Open: Thank you for taking time to talk with me/us today; we will conduct a "stay interview" that will last between 20-30 minutes. Our team is developing the Incentives Playbook to provide leadership at all levels with standardized guidance so they can identify the most effective incentives for groups at the highest risk of separating from the BOP. Before we start, I would like to note that, while your feedback may be shared to help inform our Incentives Playbook, the feedback will not be tied to your name or institution where you work. What is said during this time will not be used for future performance reviews or any other BOP-based evaluations. We want to understand your experiences and hear your ideas with the goal to strengthen BOP and its processes, but please note that we cannot guarantee any specific outcomes from this conversation. Section Two: The Who, What, and Why Open: Our team has partnered with BOP leadership to understand what matters to employees when it comes to motivation at work, retention, and incentives. Our plan is to develop an Incentives Playbook, informed from data analysis and conversations such as this one with you, that will provide standardized guidance for using incentives at all institutions. The BOP is continuously looking at ways to retain its most important asset: its employees. Previous conversations with SMEs (CPD, HRMD, HSD, IPPA, RSD) highlighted some groups (i.e., Nurses, Correctional Officers, New Hires) where attrition rates were especially high. Our hope through today's conversation is to identify what keeps you at BOP and how to create that for others early on, which can proactively increase retention of employees. The purpose of this discussion is to get a better understanding of your experiences at BOP — what keeps you at your facility and the BOP, what motivates you, and what BOP can do to better support you. Do you have any questions before we begin? Section Three: Questions Open: We will go through a handful of questions to identify why you chose to work at BOP, what makes you stay, and what obstacles you face that may lead to your considering separating from the BOP. 44 EFTA00141462

45 Interview Questions •Bolded questions are highest priority to ask. If time allows, feel free to ask additional questions. How I got here... • What made you choose to work at BOP? • How did you learn about BOP and what factors most influenced you to apply? • What are your career goals? What do you hope to get out of working at BOP? What I value... • What motivates you to come to work? • What is the most exciting part of your job? • What factors lead to you doing your best work? • What are you learning here? What do you want to learn? How it's going... • What is your overall satisfaction with your position at BOP on a scale of 1-10? o What would it take for you to raise your number? • What are the three most important factors about where you work? • What do you value about your job? • What benefits do you like most about working at your institution? • How would you like to be recognized for the work you do? • What aspects of BOP's culture do you enjoy most? (please note, we will include a definition of what we mean by culture] -.guy What I think could improve... • Which of your skills are you not using in your current role? • What tools and resources are you missing, if any, to do your job properly? Are there training opportunities you'd like to see that would make your job easier? • What does leadership do well? What can they do better? • If you could change one thing about the culture at your institution, what would it be? • How can we better recognize and value our people for their contributions? I might leave if... • What would you cause you to leave your job? • If you were to consider leaving BOP, where would you begin looking for your next job? Ideas I have... • If you had a magic wand, what would you change about your job? • What part of your job would you remove right away if you could? • What could be done to prevent you from leaving your current position? • Would you recommend BOP to job-seeking friends? Why or why not? • What would you tell a coworker who's thinking about leaving BOP? 45 EFTA00141463

46 Final Thoughts... • Is there anything we did not discuss today that you wish we had? • Is there anything else you'd like us to know? Section Four: Closing Open: Thank you for your time today. We appreciate your candor and willingness to share your experiences at BOP. Your input is instrumental in identifying positive aspects of BOP's culture that we should foster more of, as well as providing us with new ideas for how the Agency can invest in its people and their experiences. Moving forward from these interviews, our team will connect with Agency Subject Matter Experts to talk through feedback we've received and continue the creation of a standardized Incentives Playbook to aid in effectively retaining employees. Do you have any final questions? 46 EFTA00141464

47 Frequently Asked Questions (FAQs) 1. Who was involved in preparing for Stay Interviews? Leaders in the Mid-Atlantic and Western Regions (Regional Directors, Wardens, HRMs) worked together to request voluntary participation in Stay Interviews. Employees interested were asked to reach out with their availability; interviews were scheduled from November to December 2022. 2. How were Stay Interview participants identified? Working sessions were conducted with Central Office and Regional Office Subject Matter Experts to discuss and identify groups of employees at a high risk of leaving the BOP. Stay Interviews were offered to employees in the top three high-risk groups: (1) Correctional Officers, (2) New Hires, (3) Nurses, in the Mid-Atlantic and Western Regions. 3. How many institutions were represented through Stay Interviews? Nineteen institutions were represented during the Stay Interview process: FCI Ashland, USP Atwater, FCI Butner, FCI Cumberland, FCI Dublin, FCI Herlong, FDC Honolulu, USP Lee, FMC Lexington, FCC Lompoc, MDC Los Angeles, FCI Manchester, USP McCreary, FCI McDowell, FCI Memphis, Ed Phoenix, MCC San Diego, FCI Sheridan, and FCI Terminal Island. W 4. What is BOP doing with the answers provided from interviewees? Interviewee responses were analyzed and summarized into top themes, then used to inform resources provided with the Incentives Playbook. 5. What about the people who didn't participate in a Stay Interview? A survey was sent out to all employees in the Mid-Atlantic and Western Regions who fell into one of the high- risk groups (4,800 employees), requesting their top 3 preferences of monetary and non-monetary incentives at BOP. 47 EFTA00141465

Page 1 of 2 Applying Criteria to Identify High-Risk Groups of Employees Using the criteria checklist to identify groups of employees who are at a higher risk of separating from the BOP will enable BOP leaders (e.g., Wardens, etc.) to give the most impactful incentives at the right time to maximize the Bureau's return on investment. USE WHEN: • You want to determine if a group of employees or a specific individual is at a high risk of separating from the BOP • You want to identify the groups of employees or specific individuals to give incentives to • You have limited resources and want to prioritize who to incentivize HOW OFTEN SHOULD I USE THE CHECKLIST? It is recommended to determine who the high-risk groups are by using the criteria checklist at least once a year along with reviewing similar reports (e.g., Turnover Report) to ensure proper identification of high-risk groups. Frequently re-evaluating the high-risk groups once a quarter will help determine if resources need to be re-allocated to new groups. WHAT TO CONSIDER WHEN USING THE CHECKLIST? • The checklist is meant to serve as one general model for identifying high-risk groups, not the sole resource • The questions are ordered by their ranking of most impactful to least impactful, as determined by the Central and Regional Office Executive Staff • Not all criteria will apply to every institution, region, or group of employees • Please note there can be multiple appropriate approaches for applying the criteria WHO CAN HELP? Please work with other leaders around you (e.g., Associate Wardens, Department Heads, Human Resource Managers, etc.) to participate in working through the checklist, allowing for a comprehensive and unbiased decision. If you have questions on the criteria, how to determine if a group of employees or specific individual is at a higher risk of separating from the BOP, or want to learn more about the Incentives Playbook, please contact HRMD. HIGH-RISK GROUPS: The following groups of employees were initially identified as being at a higher risk of separating from the BOP by Central Office and Regional Office Executive Staff: Correctional Officers Nurses New Hires This list should be constantly re- evaluated to determine if these groups are still at high-risk. DO Talk with Wardens and BOP leaders around you to share how you identified high-risk groups at your institution and see if neighboring institutions have similar high-risk groups. DON'T Forget to talk to your peers and executive teams to work together to identify who the high-risk groups are at your institution. EFTA00141466

Page 2 of 2 Criteria Checklist These criteria and questions were developed to assist BOP leaders identify groups of employees and/or specific individuals at a higher risk of separating from the BOP. Using the criteria checklist below, ask each of the questions when considering a group of employees or a specific individual. IS THE GROUP HIGH-RISK? • More than 50% of the items (7+) have been checked YES, then the group is likely to be high-risk • More than 75% of the items (11+) have been checked YES, then the group is very likely to be high-risk • 100% of the items (15) have been checked YES, then the group is extremely likely to be high-risk If you have questions, please contact HRMD. CRITERIA CHECKLIST TO IDENTIFY HIGH-RISK GROUPS K Location of Institution: Is the cost of living considered high for this location? K Location of Institution: Is the location considered a non-desirable place to live? K Location of Institution: Are critical resources such as hospitals, schools, and grocery/shopping stores far? K Job Market Competition: Is there local competition for the high-risk group to earn better or work better hours (including work from home option)? K Job Market Competition: Is there national competition for the high-risk group to earn better or work better hours (including work from home option)? K Pay: Is the salary considered below the competitive rate compared to local competition? K Schedule: Is there flexibility or multiple options for setting the work schedule for this high-risk group (i.e., night shifts, holiday hours, hybrid eligibility)? K Time-to-Recruit/Hire: Does it take a long time to recruit and hire for this high-risk group? K Morale: Is the mental and emotional condition of the high-risk group considered low? K Promotion Opportunities: Does this high-risk group have frequent opportunities to move up on the pay scale and different promotion levels? K Turnover Rate: Is there a high frequency of individuals leaving from this high-risk group? K Job Requirements: Does this high-risk group require additional education, licenses, or certifications to conduct their work properly? K Empowerment and Authority: Does the high-risk group have little to no ability to make choices and decisions independently in their day-to-day work? K Supervisor/Manager Relationships: Does the high-risk group have a lack of qualified and strong leaders and mentors within their roles? K Tenure: Does the high-risk group have either very low tenure (less than a year) or very high (eligible to retire)? EFTA00141467

Words of Appreciation & Saying "Thank-You These quick and simple ways to thank your employees boosts morale, builds meaningful relationships, and reminds employees working in a challenging environment that they are valued. USE WHEN: • You see employees in the hallway, signing in for their shift, or notice an individual or group going above and beyond • You wish to boost morale and encourage employees • You want to set an example of appreciation for other executive staff or supervisors in the institution • You want Executive Staff, Department Heads and Supervisors to practice recognition and build stronger connections HOW OFTEN DO I USE THIS? Provide employees with timely, specific, and personalized feedback. Ideally thank yous would occur on the spot, but realistically it is most effective to provide a note of thanks or words of appreciation within a month of the action, whether that's in person, through an email or in a handwritten note. WHAT DO I SAY? When thanking an employee, think about including details such as: • What action was taken and when • How it positively impacted other employees and the institution's success EXAMPLES: • "Thank you for taking an overtime shift today; your commitment keeps all of us safe." • "I appreciate that you shared your ideas during the staff recall. That encourages others to share their thoughts." • "The night/early morning shifts are crucial to keeping inmates and employees safe. Thank you for being here." • "Thank you for coming in early to prepare food for everyone; your efforts are appreciated." • "Thank you for jumping in so quickly to cover a post you're not used to." STAY INTERVIEW FEEDBACK (Conducted Nov. - Dec. 2022): 'Acknowledge staff on the spot when they do a great job." "[Leaders] can better recognize staff by pulling you to the side, having a conversation with you, and letting you know you are doing a good job." "I like face-to-face recognition for specific work and getting feedback, too." DO Take 15-30 minutes each week to walk around your institution and thank employees. Consider utilizing other executive staff and CST to ensure more people are acknowledged and off-shifts are not forgotten. DON'T Use primarily generic, broad thank yous that address the entire institution. While kind, these do not make employees feel valued for their specific efforts. EFTA00141468

Warden Newsletter Start a newsletter to consistently and transparently communicate timely information to employees, highlight achievements, and share "shout-outs." USE WHEN: • You feel like you do not have consistent interaction with employees You feel there is a disconnect in communication between levels or shifts Due to scheduling conflicts or institution specific situations, you often don't have enough time to visit employees, but you want to make sure that all are aware of what is going on You have heard that employees want more transparency and information from leadership You think your employees need more avenues for recognition You want to share major accomplishments made by individuals or your institution WHAT DO I SAY? Consider writing a newsletter once a month or once a quarter to share consistent communication and frequently-occurring highlights to employees. You can include the following items in your newsletter: • An update on what is going on in your life and around the institution • Highlight upcoming events or programming • Highlight different operational or policy changes • Appreciation for employees or leaders who are consistent, reliable, and hard working (i.e., an employee or group spotlight) • Share institution or regional achievements (i.e., how many medical trips were completed, how many meals were served, new processes implemented) • Highlight new trainings and teams at your institution with a point of contact WHAT MATERIALS SHOULD I USE? Consider using the template attached on this page in the blue box. Include your employees! Ask what they would like to see and hear about, then update the template to match the needs of your institution. SPEAKING POINTS: I want to use this newsletter to be transparent about what is happening in our institution and providing a way for staff to recognize one another. I'm excited to use this form of communication to better share news and achievements from our institution, our region, and all of BOP. CLICK HERE FOR TEMPLATE NEWSLETTER TEMPLATE DO Provide various details and segments in the newsletter. Try to incorporate information alongside recognition, new opportunities, and staff spotlights. Consider asking employees what they would like to see in the newsletter! DON'T Send the newsletter at infrequent intervals. Commit to a routine basis (i.e., first Monday of each month) EFTA00141469

Tying Contributions to the Mission Share with employees how their efforts contribute to the mission of their institution and the Bureau to demonstrate how their day-to- day work ties to a larger purpose. It is important for employees to feel that every post and task leads to meaningful impact. USE WHEN: • You wish to boost morale and remind staff of the big picture • You want to highlight all departments and employees' impacts in a specific way You want Executive Staff, Department Heads and Supervisors to practice recognition and practice tying seemingly small contributions to larger institution or Bureau-wide impacts HOW OFTEN DO I SHARE THIS INFO? These "Contribution Reminders" can be shared when your Executive Staff completes required monthly or quarterly reports for your institution or region. You can share the information with staff at a staff recall, through the newsletter, or in an email. WHAT IS IMPACTFUL TO INCLUDE? • How many FSA programs were offered or conducted this month or quarter • Number of inmates kept safe through events such as medical transports • Amount of contraband discovered • Employees who have made a level of tenure • Promotions • How many inmates complete their GEDs this year • Did our institution or any staff members get recognized locally, regionally or at BOP? WHO CAN HELP? Work with Department Heads and Executive Staff who frequently work on routine reports to decide what statistics may be most meaningful for employees at your institution: key notes and statistics on inmate safety, medical achievements, new programs and initiatives, number of new hires that joined during the quarter, etc. This is also a great way to increase connections between departments and cross-train leaders! STAY INTERVIEW FEEDBACK (Conducted Nov - Dec. 2022): "I like interacting with inmates. I want to learn how to say something meaningful!" "BOP is great about allowing you to do collateral duties and be part of things besides your job. I joined the DCT (disturbance control team) team as a medical staff member and it helps me do something bigger than my position which provides a wealth of knowledge." DO Utilize BOP's core values (Courage, Respect, Integrity, Correctional Excellence) and connect employee contributions to the BOP's impact. DON'T Highlight negative events or areas where the institution did not meet requirements (i.e., staffing levels). EFTA00141470

Team-Building & Morale-Boosting Activities Executive staff, CST and the Employees Club can refer to these ideas when planning an activity for team building and strengthening relationships among employees. *Individuals planning team-building activities are encouraged to contact the Ethics Office for guidance. Well-Being Course Offering (i.e., team walk, exercise class, yoga at institution) Employee Appreciation Meal • Time to Plan: 2 weeks • Cost $$ - $$$ • Frequency:Twice per quarter Correctional Worker's Week • Time to Plan: 1 month • Cost $$$ -$$$$ • Frequency: Annually Sports Viewing Party Superbowl, World Series) • Time to Plan: 1 month • Cost: $$ • Frequency: Quarterly Supervisor Thank-You Notes • Time to Plan: 1 week • Cost: $ • Frequency: Monthly Team Bulletin Board (for shout-outs, compliments, achievements) • Time to Plan: 1 month • Cost $ • Frequency: Twice per quarter Institution Talent Show • Time to Plan: 1 month • Cost $ - $$ • Frequency: Annually Family Potluck (with approval from local executive staff) Employee Cook-Off Birthday Shout-Outs • Time to Plan: 1 month • Time to Plan: 1 month • Time to Plan: 1 month • Cost: $ - $$ • Cost $ • Cost $ - $$ • Frequency: Annually • Frequency: Monthly • Frequency:Twice per year WHAT "Staff appreciation meals, ice cream trucks, coffee trucks, they help boost morale and it's a breath of fresh air when you hear there are WE HEARD: these things." Department Appreciation Lunch • Time to Plan: 2 weeks • Cost $ - $$ • Frequency Annually for each department Shift Appreciation Meal (Le., Morning, Night) • Time to Plan: 2 weeks • Cost: $ - $$ • Frequency Quarterly Local Event (i.e., bowling with approval from local executive staff) • Time to Plan: 1 month • Cost $$ - $$$ • Frequency: Quarterly Meal with the Warden • Time to Plan: 2 weeks • Cost $ - $$ • Frequency: Quarterly, alternating shifts • Time to Plan:1 month • • Cost: $ - $$ • • Frequency Twice per year • $ low-cost option $$ some costs associated, utilize the Employee's Club or Union $$$ higher cost option, plan for funding Volunteer Day (i.e., work with local non-profit) KEY: Time to Plan: 2 weeks Cost $ - $$ Frequency:Twice per year EFTA00141471

Office Hours (i.e., Wednesdays with the Warden) Provide opportunities such as office hours for employees and leaders in your institution to give employees the chance to get to know you, share their concerns, and brainstorm ideas to strengthen their careers, their coworkers and the Bureau. Offering times to chat also shows that you are willing to put in the time to listen to your employees and fellow leaders. USE WHEN: You want to connect with employees on a more personal level • You want to offer opportunities for employees to share ideas, concerns and insight • You want to share tips and tricks with junior employees and set an example for other leaders to do the same • You want employees to feel heard and valued WHAT WE HEARD: "We have a new Warden who communicates with us on how we can better ourselves." HOW DO OFFICE HOURS WORK? Give employees multiple opportunities throughout the month (during various shifts, if possible) to stop by and check-in with you. Suggest employees and/or leaders come by if they want advice on career development or have ideas for bettering the institution or the BOP. Consider a catchy title for the office hours - such as Wednesdays with the Warden. You could also consider offering brainstorming sessions for employees and leaders where everyone is encouraged to share advice, ideas and feedback. HOW DO I PREPARE FOR OFFICE HOURS? • Provide equal effort regardless of the shift where office hours are held • Remind employees of office hours as they approach • Be prepared to take concerns and ideas with an open mind • Look into upcoming trainings and career-development opportunities to share with employees looking to further their skills • Be prepared to answer questions or refer employees to resources • Mentally prepare for employees to come with problems or complaints that are larger than you can handle. If this happens, tell them that you will follow up with appropriate resources and/or suggestions. Thank employees for coming to your office hours! INVITING STAFF: Institution employees and leadership - please feel free to stop by my office from 4:00-5:00 on Wednesdays this month. My door will be open, and I would love to hear from you. You can come with ideas for bettering our institution, talk about career development, or simply check in. DO Advise other executive staff to host office hours to let employees get to know institution leadership. Encourage employees to stop by. DON'T Change the schedule of office hours or cancel unless necessary. EFTA00141472

[INSTITUTION NAME]'S MONTHLY NEWSLETTER [Institution Name], Happy [insert day or month)! (Insert any top priority items). This section serves as a transparent way for the Warden to communicate updates or major decisions, including relevant news or changes occurring at the institution or BOP (e.g., recently high levels of augmentation, new policy implementation, etc.). Mention any upcoming holidays or major events (Le., Employee potluck, institution-wide training, Thanksgiving). Reminder! (Insert anything that you need from employees]. This section serves to remind employees of things coming up that need their attention (e.g, Human Resource form deadlines, health and safety reminders, or how staffing may change in the upcoming weeks with estimated overtime or call outs). Programming and Events Event XX: Call out upcoming programming or events within the institution (e.g., employee get-togethers, training, office hours with the Warden). Encourage employees to attend these s and incl any details such as location or time. • Train. Call out upcoming programming or events within the institution (e.g., employee get-togethers, training office hours with the Warden). Encourage employee to attend these events and include any details such as location or time. Employee Spotligh ert nam em rgrO (Insert 4-6 sentences about the individual or group and why they are on the Employee Spotlight)Include details about recent achievements and commendable work they have done and thank them for their contributions. Finish with a strong note of appreciation (i.e., 'The institution is proud to have you on our team serving the BOP mission!, Things Top of Mind (Example]: I IM116 e t lkovide details about recent events of things going on in your life. Speak on anything you feel comfortable sharing. .\* (Example): One way that keeping my mental health a top priority: I am spending 15 minutes after work every day meditating a ausing to reflect on what I can do better as a leader. Mental health is a top priority at the institution, a I encourage everyone to seek the resources they need to stay well and healthy! Close your newsletter by thanking staff for their hard work and call out any important reminders. Warden [Insert Name) [Insert Date) EFTA00141473

Roundtable for Tenured Individuals to Support New Employees Objectives • Dedicate time for tenured employees to give advice and share knowledge with individuals new to BOP or the institution • Learn what is impacting employees and how to support them better Facilitation Set-Up and -ream Roles Location: If possible, select a private place (i.e., conference room) that is free of distraction and allows participants to see one another. Attendees should feel comfortable having an open dialogue with their coworkers and leaders. Time: 45 minutes is the suggested time range to maintain group attentiveness while giving everyone enough time to share their perspectives, ask questions and recap outcomes from the discussion. Frequency: To encourage continued guidance and dialogue between new and tenured employees, it is recommended to conduct these roundtables at least twice or quarterly per year. Roles: (1-2) Facilitators (ideally a tenured employee) & (1) Notetaker. The notetaker will primarily observe and take notes during the roundtable. They may provide support to the facilitator if needed. In their notes, they should record any main highlights and repeated themes as well as any notable quotes from the audience. Be sure not to include any personal identifying information while taking notes. Attendees: Tenured employees (volunteer-based) and individuals new to BOP or the institution within the last 3 — 6 months. Ideally, there is 1 tenured individual per 5 new employees attending. Supplies (Optional): • pens (1 per person) • name tags (1 per person) \14 1 EFTA00141474

Part 1: Introduction (5 minutes) Welcome (3 minutes) • Thank them all for attending • Facilitator(s) and notetaker provide brief introductions of themselves ilk Time: 5 minutes Example Language: Thank you all for being here. Our hope through today's conversation is to get a better understanding of your needs as employees new to the BOP or institution [Name] and provide knowledge and advice as individuals who have been here at [Institution Name] for a while. Beyond this conversation, we'd also like to lend ourselves as mentors and when you come across challenges as you figure out your role here. Icebreaker • Ask participants to introduce themselves by stating their name, how long they have been at the BOP, which institutions they have served (if applicable), and what they are hoping to get out of this conversation. • Encourage the audience to use a name tag, if possible. Setting the Stage (2 minutes) • State length of session (Note: In a corrections environment, some staff may arrive late or leave early). • Remind attendees that their participation is voluntary, and nothing shared in the room will be tied to them. • Address any concerns or questions from the audience. Part 2: Discussion (35 minutes) Verbalize: We want to take this time to talk about your initial experiences here and at the BOP overall, as well as answer any questions or talk through any roadblocks you may be facing. To start, do you have any questions for us about the job, institution, or anything else? Questions to help get the discussion started • In one word, what do you think about your job so far? • What questions do you have about your role or the institution? • Have you faced any roadblocks so far? How did you handle them? • What can leadership do better? • If you could change anything about your job, what would you change? • Describe a good day at work. What needs to happen and what does it look like? • What advice would you give someone on their first day here? • What would you like to see at our institution (i.e., for employees, for onboarding, new ideas)? Time: 35 minutes 2 EFTA00141475

• Would other discussions like this or events to be around other employees be helpful to your success here? How often should we check-in like this? Dos & Don'ts • Do keep questions open-ended and allow for awkward silences to be broken by the audience. • Do try to honestly answer all questions and in full. If there are questions that should be addressed one-on-one, let the audience know that if their question did not get answered to approach the facilitator(s) afterwards. • Don't ask simple questions that can be answered with yes or no. • Don't ignore or neglect any questions altogether. This will take away from having a transparent and helpful conversation for newcomers to the Bureau. Part 3: Wrap-Up (5 minutes) Verbalize: Is there anything we did not discuss today that you wish we had? • Allow people to speak if they are wrapping up their comments or have not had an opportunity to speak yet. • Thank everyone for their input and time. Verbalize: Please utilize everyone in this room as mentors and resources when you come across roadblocks as you figure out your role here. We encourage you to reach out with questions and support one another when you need help! Time: 5 minutes 3 EFTA00141476

15BNAS21D00000114 Page 1 of 24 SOUCITATIONICONTRACT/OFtDER FOR COMMERCIAL ITEMS 0 EROR TO COMPLETE BLOCKS 12, 17, 23, 24 & 30 REOUISITIOANLIABLI4 2 CONTRACT AO ISBNAS21D00000114 3 ANAJGOEFFFCTWE DATE 10/19/2020 4 OICES NLP.MEN • SOU WATION NUMBER ISBNAS20QVNP10032 a 501...TAPIA SSUE DATE 1,• 12/2020 7. FOR SOLICITATION INFORMATION CALL: a NAME ti TELEPHONE NUYBER (No caber Ws! 8 OFFER OUF DATE i I OCAL I NE ix 25 2020 12.00 FT 9 ISSUER BY ECikral litgetklof Rhin!. AqUIlliOrb 1111111CIIN311,11.1! )20 Ftn.• Street \VI Nei n401-5 WA.SIIINU ION, DC IONIA ' ooF ACILSITION IS I1 IMPFSTFOCtrn OR 74Ar ONSINESS El - .82CHE Sam K r ma Po • iv, /wit aF1 MOE 100.00 14 FOR K ACtievisin40 WA. ats %ass (n0S3: EL 04E LNIEK THE ACoEsHavridt WA OuTniESS PROGRar nimcs '4102 K sososs K sCA: PIE srAnnAnn 16,500,000.00 • 1. .1i. . = DELIVERY FIR RIR OFSTINATiON FES M OCR IS MARKEL) SEE FAHEDULE • 2 DISC11;%1 - ERRS NI: T 30 - 3a THIS CONTRACT IS A =ATE° ORDER UNDER DPAS • 5 CFR 700/ • In RATING 14. METHOD OF SOPOITATON x RFO K IFS RFP 'S CFI OF P TO CODE I 1 Sal. A0 i...41o.IST: RFC RY CODE i INAS Federal Ricca° of Moms lie): Acquisition Office LS Anna) Forces Reserve Complex • h r li RUM of Prisons COM•IlleCWITICCAkt.g0V • .,..:iitons Ikea: \ Mond Actuftwons Section L • • IC Suect \W 346 !acne Ewe% Drive Opted Prainc, TX 75051 , h oi MI.5 '. ASIIINGTON, Ix' 20534 i Ts CONTRACTOR/ 000E 421306404 'AcL" cfIDE 21713171 • Rs PAYVENT WLL BE WOE BY COLE BCO OFFERT.R :ANUS ASSOCIATES, INC. !Mini Nauss» Ab 811S Federal Burr= of ['think< Ficasc ensure motet ter the full o: ,mder nurnha Aofthemlous lhareACentral MCC IlthIlICKN Office colseonessorTACCIAT•Piv 320 2iry Sind \W Soon A)I-4 WASIIIKO TON, DC 2054E ni 76 CHECK IF REMITTANCE IS I) FFERENT AM) PUT SUCH AVORESS N .IFFER 81) SUBMIT iNVOI. et -OD- s E a. EH .... \ N BLOC,. 189 UAL ESE BLOCK BELOW S -,••ECKFII SEE ADOENOW 2t. DUANTITY n UNIT 23 unr Ppicr Delivery Dale: 10/19/2020 National LAP Services See Continuation Sheets) G.-Rt.-4.4... 4,i s1 fAlsinea/Pwisai Vann.%) iS A Ofill AITINO AND APPROPRIATION DATA See l ine Item Detail it TOTAL AWARD AMOUNT (For Grad Ow Only) 5608 650 00 K 2?a SDI :TAPIA INTTIRPORAIES BY REFERENCE FAR 52.212.1. 52.2124 FAR 52.212.3 AM) 52.212.5 ARE ATTACKED. ADDENDA U ARE U ARE NOT ATTACHE IT 271, CONTRAT:TIH)P >0 SF ORDER INCWIPORATES RY REFERENCE FAR 522124 FAR 522. .5 iS Al TACKED ADDENDA D ARE El ARE NOT ATTACHE C 28 CONTRACTOR S REQUIRED TO SON- KO DOCUMENT AND RETURN I COPIES 0 ISSUINS OFFICE CONTRACTOR AGREES TO FURAISHANR Oft PIER All ITEMS PT FORTH DR OTHERMEE ICEN1 FED ABOVE AND ON AAP ACCITIONAL SHEETS SUBJECT TO THE ERNS ANTI ()OWN T OAS SPECIFIFIT 29. AWARD,S CONTRACT REF °UMWloftOFFER DATED OW 1, 2020 . YOUR OFFER ON SOLICITATION IGLOO( 5) INCLUDING ANY ADDITONS OR 3KANGES WHOM ARE SET FORTH -ERE N IS ACT.EPTED AS TO ITEMS: III 3.3e S GritATURE OF OPENCRCINTRACTOR ITN NINE AM) MLR OF SOWER ( TYPE OR RAW, ) I t.,f; DATE RIAU) ;Is WITTE, STATES OF AML4CA (SIGNATVRE OF CONTRACTIN3 OF: CEP; 21'3 NAVE OF THE CONTRACIlte OFFICER (TYPE OR PRINT) :•E LATE St >NW Ira& 9/28/20 10/19/2020 AUTICRIZED FOR LOCAL REPROP1CTION PREVIOUS EDITION IS NOT USAB_E STANDARD FORM 1449 MEV. 2270121 Pnasoltio Cy GSA • FAR (48 CFR) 53212 EFTA00141477

15BNAS211:100000114 Page 2 of 24 19. I- EM NO. 2O. SCHEDULE OF SUPPLIES/SERVICES 21. QUANTITY 22. UNIT 23. UNIT PRICE 24. AMOUNT 32d. OUANTITY IN COLUMN 21 HAS BEEN 0 RECEIVED Ei INSPECTED El ACCEPTED, AND CONFORMS TO THE CONTRACT. EXCEPT AS NOTED: 320. SIGNATURE OF AUTHORIZED GOVERNMENT REPRESENTATIVE 32c. DATE 320. PRINTED NAME AND TITI F OF AUTHORIZED GOVERNMENT REPRESENTATIVE 32e. MAILING ADDRESS OF AUTHORIZED GOVERNMENT REPRESENTATIVE 321. TELEPHONE NUMBER OF AUTHORIZED GOVERNMENT REPRESENTATIVE 32g. E-MAIL OF AUTHORIZED GOVERNMENT REPRESENTATIVE 33. SHIP NUMBER 34. VOUCHER NUMBER 35. AMOUNT VERIFIED CORRECT FOR 36. PAYMENT FINAI 37. CHECK NUMBER • COMM FTF • pARnAt I PARTVg I 'FINN 38. SIR ACCOUNT NUMRER 39. SIR VOUCHER NUMBER 40. PAID BY 41a. 1 CERTFY THIS ACCOUNT IS CORRECT MD PROPER FOR PAYMENT 42a. RECEIVED BY (PAN; 410. SIGNATURE AND TITI E OF CERTIFYING OFFICER 41c. DATE 420. RECEIVED AT (Location) 42c. DATE REC'O (YYMM/OD) 420. TOTAL C.: \ TAI \ ERS STANDARD FORM 1449 (REV. wawa) BACK EFTA00141478

15 BNAS21 D00000114 Page 3 of 24 Table of Contents Section Il gyimn Pape Number 2 3 Contract Cla.uses.. .7 52.21-603-70 Contracting Officer's Representathe (COR) (June 2012). ..7 5227-103-72 52.27-103-72 DQI CONTRACTOR RESIDENCY REQUIREMENT BUREAU OF PRISONS (JUNE 2004). .8 52.218-000 CONTINUING CONTRACT PERFORMANCE DURING A PANDEMIC INFLUENZA OR OTHER NATIONAL EMERGENCY (May 2008)- .8 DJAR-PGD-15-CB Security of Department Information and Systems.. . 9 52.216-19 Order Limitations (Oct .................................... —..—..—..—...—..13 52.216-18 Ordering (Oct 1995). 14 52.217-8 Option to Extend Services (Nov 1999).. .14 52.204-21 Basic Safeguarding of Covered Contractor Information Systcms (June 2016)...._...._...._....14 4 52.217-9 Option to Extend tic Tam of the Contract (Mar 16 52.232-19 Availability Of Funds For The Nast Fiscal Year (Apr 1984). ..16 52.232-18 Availability Of Funds (Apr 1984) -17 BOP 7352242-71 EVALUATION OF CONTRACTOR PERFORMANCE UTILIZING CPARS (APR 2011)— - 17 52.212-3 Offeror Representations and Cerlifications—Commercial Items (Jun 2020)...---....- 52.212-5 Calract Tams and Conditions Required to Implement Statutes a - Executive Orden- Canmacial Rails (Jun 2(120)- 52.237-7 Indemnification and Medical Liability Insurance (Jan 1997)... 17 List of Attachments. 24 EFTA00141479

15BNAS21D00000114 Page 4 of 24 Section 2 - Commodity or Services Schedule Contract Guarantee. MDITIJM 3uaranteed Duan:ity %hernial- Guaranteed Amount Maximum Gua'an:eed Juan:ity Maximum Guaranteed Amount S') '.r: SCHEDULE OF SUPPLIES/SERVICES coNTINUATON SHEE I ITEM NO. SUPPLIES/SERVICES QUANTITY UNIT UNIT PRICF AMOUNT 0001 EAP 8 Work/Life Services 37,000 Employees x Price/Year = Price per Employee/Year Base Year: 10/19/20-9/30121 Firm Fixed Price PSC: R431 Base Penod 37.000 EA D rev ous: $0.0000 Change- 516.4500 Current: $16.4500 Previous: $0.00 Change: S608,650 00 Zumml S608,650.00 ITEM NO. SUPPLIES/SERVICES QUANTITY UNIT UNIT PRICF AMOUNT 0002 EAP 8 Wona fe services 37,000 Employees x PriceNear = Price per EmployeeNear 0:tion Year 1: 10/01/21-9/30/22 Firm Fixed Price R431 Ueexercised Option EA -.,\, -,,,, $00000 Chalin $16 4','n: 4','n: PSC: Current: $16 4500 Previous: $0.00 Change: $608,650 00 Ourrenl $608,650.00 37,000 ITEM NO. SUPPLIES/SERVICES QUANTITY UNIT UNI I PRICE AA1OUNT 0003 EAP & Work/Life Services 37,000 Employees x PriceNear = Price per Employee/ear 0:tion Year 2: 10/01/22-S•30 23 Firm Fixed Price PSC: R431 U-exerased Option 37,000 EA Frevous: 50.0000 Change 516.9400 Current: $16 9400 Previous: $0.00 Change: $626,780 00 .:un-ent 5626.780.00 ITEM NO. SUPPLIES/SERVICES QUANTITY UNIT UNIT PRICE AMOUNT 0004 EAP & WaxiLfe services 37,000 Employees x Price/Year = Price per Employee/Year Orion Year 3: 10/01123.9.3a24 Firm Fixed Price 37,000 EA °revous: EFTA00141480

5BNAS2 ye :) of :<4 CSC R431 ....lexe- 4.seLl Option ITEM NO. SUPPLIES/SERVICES QUANTITY UNIT UNIT PRICE AMOUNT 0005 EAP & Work /Life Services 37.000 Empoyees x PriceNear z. Price per Employee/Yea 0:tion Year 4: 10/011244.30 25 Firm Fixed Price PSC: R431 U 'exercised Option 37,000 EA arevous: S0.0000 Change ITEM NO. SUPPLIES/SERVICES QUANTITY UNIT UNI I PRICE AMOUNT 0006 EAP .4 We-e4L re services 37,000 Employees x Price/6 months= Price per Empoyee/6 months Potential 6-month Extension: 1041/25-3/31/26 Firm Fixed Price PSC: R431 Unexercised Option 37.000 :A oiev ,:us $0 0000 Base Total: 608,650.00 Exercised Options Total: $0.00 Unexercised Options Total: $2,802,380.00 Base and Options Total: 53,411,030.00 2.1 Section 2.1. CONTINUATION OF SF-1449, BLOCK 20 SECTION 2.1, SCHEDULE OF SUPPLIES/SERVICES Provide Employee Assistance Program services to all BOP employees, their dependents. and domestic partners. Services shall be performed in accordance with 15I3NAS2.0QVNP 10032; the contractor's quote dated 8/21/2020 and pncing update confumed 9/25/:0. and the attached Statement of Work. PERFORMANCE SHALL BEGIN October 192020 Base Period: 10/19/20-09.30/21: Estimated Total $608,650.00 With Government unilateral right to exercise 4 one-year options as follows: Option Year I: 10.01,21-09/30/22: Estimated Total $608,650.00 Option Year 2: 10 01 22-09.30,23: Estimated Total $626,780.00 Option Year 3: 10.01 23-09.30,24: Estimated Total $626,780.00 Option Year 4: 10 01 24-09.30,25: Estimated Total $626.780.00 Potential 6 month Extension: 10,01 25-03/31/26: Estimated Total $31 3,390.00 EFTA00141481

15BNAS21D00000114 Page 6 of 24 Estimated Grand Total: $3,411,030.00 FP FUNDS SHALL BE OBLIGATED VIA INDIVIDUAL TASK ORDERS DELIVERIES In accordance with Federal Acquisition Regulation (FAR) 16.505, and the clause located in FAR 52.216-18, Ordering, states that any supplies or services to be fumishcd under this contract shall be ordered by issuance of task orders by a warranted Contracting Officer in the NAS Contracting Section. X BILLING INFORMATION The Government will make payment on a monthly basis via Electronic Fund Transfer. Invoices with the contract number should be submited electronically to [email protected]. Contractors that arc classified as a small business arc required to indicate their small business size status on each invoice submitted for payment. ADMINISTRATIVE CONTRACTING OFFICER CONTRACTING OFFICER'S REPRESENTATIVE (COR EFTA00141482

5BNAS2 ge 7 of 24 Section 3 - Contract Clauses Clauses By Reference 52.252-2 CLAUSES INCORPORATED BY REFERENCE (FEB 1998) This contract incorporates one or more clauses by reference, with the same force and effect as if they were given in full .ext. Upon request. the Contracting Officer will make their full text available. Also, the full text of a clause may be accessed electronically at this/these address(es): www.acquisition.gov Clause Title Fill-ins (if applicable) 52.242-15 Stop-Work Order (Aug 1989) 52.203-3 3ratuities (Apr 1984) 5Z232-40 Providing Accelerated Parents to Small Business Subcontractors Dec 2013) 52.242-13 Bankruptcy (July 1995) 52253.1 Computer Brerated Forms (Jan 1991) 52.203-12 urnration On Payments To influence Certain Federal Transactions (Oa 2010) 5Z224-1 Privacy Act Notification (Apr 1984) 52.224.2 Privacy Act (Apr 1984) 52.204-12 Jnique Entity Identifier Ma ite-ance (Jet 2016) Clauses By Full Text 52.21-603-70 Contracting Officer's Representative (CUR) (June 2012) 3urcau of Prisons. 344 Marine Forces Drive. Grand Prairie. Texas 75051, is hereby designated as the Contracting Officer's Representative (CUR) wider this contract. b) the CUR is responsible, as applicable, for: receiving all deliverables, inspecting and accepting the supplies or services provide hereunder in accordance with the terms and conditions of this contract; providing direction to the contractor which clarifies the contractor effort. tills in details or otherwise serves to accomplish the contractual Scope of Work; evaluating petfonnance; and certifying all invoices/vouchers tin acceptance of the supplies or services furnished for payment. c) The CUR does not have the authority to alter the contractor's obligations under the contract, andor modify any of the expressed terms. conditions, specifications, or cost of the agreement. If as a result of technical discussions it is desirable to alter/change contractual obligations or the Scope of Work, the Contracting Officer shall issue such changes. EFTA00141483

158NAS21D00000114 Page 8 of 24 5227-103-72 5227-103-72 DOJCON'TRACTOR RESIDENCY REQUIREMENT BUREAU OF PRISONS (JUNE 2004) For dime of the five years immediately prior to selmission of an offeribidhucte, or prior to performance under a cant or commitment, individuals or contra= amiloyees providing services must have 1. Legally resickd in the United States (U.S.); 2. waked fir the US. overseas in a Fetal or military capacity, or 3. been a dependent of a Fedaal or military employee serving crixtseas. If the individual is not a US. citizen, they must be from a ocuntry allied with the US. The following v.tbsite provides arm information regarding allied countries httpd/www.state.govisNtreatykollectivedefense/ By signing this tallmete corninitmat document, or by commencing paformance, the contractor agn. to this net' -lion. [End of Clair] 52218.000 CONTINUING CONTRACT o GENCY (May 2008) O' ORMANCE DURING A PA 1:1 IC INFL 0 IF OR OT1 TER NATIONAL During a Pandemic or other emagaicy we understand tat our contracor maxi:force will experience dc sane high levels of absatreeisn as air federal anployoes. Although the Excusable Delays and Tenn ination for Default clauses used in Geritmment tamtratts list epidemics and quarantine msttictions among the [Issas to accuse delays in °attract performance, we expect our minis to make a =salable effort to keep performance at an acceptable level during emergency periods. The Office of Personnel Managanent (OPM) Ins provided guidance to federal mansgas and employees on the kinds of actress to be taken to ensure the continuity of operations during emerge's", periods. This guidance is also applicable to our contract workfare_ Centraltes are experted to have reasonalie policies in place for continuing work performance, particularly these performing mission critical services, during a pandemic infivaiza or other anagatcy situatiat. The types of actions a federal contractor should reasonably take to help ensure performance are: • Pncourage employees to get inoculattrts or fonow otter preventive measures as advised by the pubic health asvice. * Cross-train vaiers as backup far all melbas performing altbal services. This is particularly rnpatant for rook Suet) as gad services where televolt is rot an option. • Implement telekork to the greatest extent possible in te workgrtxp so systems are in place to apport successful mote work in an emenjercy. • O31111UriCate aPeetattrIS to an employees regardng their rotas and responsibilities er relation to rends wok in the edent of a pandemic health crisis or other emergency. • Pslabreh communication processes to notify employees of activation of thiS OWL • Integrate pandemic heäth crisis response expectations into televak agreements. • With the empbyee, assess requirements fa waking ä home (supplies and equipment needed faran extended telewak pertd). Security concerns should be casidenad in making equipment choicea agencies or contactors may wish to avoid use of ernptyees' personal computers and provide them with PCs or laptops as appropriate. • nettyrn ire how an employees who may teiework will communicate with one another and with management to accomplish work. • Practice telework regularly to ensure effectiveness. • Make it dear that in emergency situations, empbyees must perform an duties assigned by management, even if they are outside usual or customary duties. * Identify how time and attendance we be maintained. It is tic contractor's rcsronsibility to advise the Govern nent Canting Officer if they anticipate not being able to perform and to murk with the Depart n cot to fill gaps as necessary. This mears direct communication with the Contracting Offaxr or in his/her &mice, another rtsfronsible person in the canting office via telzphar or email messages ecknowlalging the ealtractoes notification. The inanntent cantor is responsible for assisting the Department in estimating the adverse anima, of nonpafonnanx and to work diligendy with the Departmart to crielop a strategy for maintaining the continuity of opaations. The Department does reserve dc right in sudi emergency situations to ter Fedaal anployers, anployecs of other agarics, cant sumort fran other existing contrmas, or to enter into new contracts for aitical micron services. Any new canting efforts would be acquired following the guidance in the Office of fedaal Procummart Policy issuance "Emetgoncy Acquisitions", May, 2007 and Subpart 18.2. Emergency Acquisition Ftrxibilities, of the Fedaal Acquisition Regulations. [End of Clause] EFTA00141484

15 BNAS21 D000001 14 Page 9 of 2g: EUAR-PGD-15-03 Security of Department Information and Systems i. Applicability to Contractas and Subconnactors This claim applies to all camactas and subcanractas, including cloud service providers ("CSPs"), and pasamel of contractors, subcontractors, and CSPs Reminder collectively, "Contractor) that may access, collect, store, process, maintain, use, share, mute, dissonant, transmit, or dispose of DOi information, it establishes and implements specific DOJ requirements applicable to this Cant. The requiremaus established haein an in aldition to those requited by the Fetal Acquisition Regulation eTAR"), including FAR 11.032(g) and 52239-1, the Privacy Act of 1974, and any other applicabb laws, mandates, Procurement Guidance Documents, and Executhe Oriels paiaining to the dackpment and operation of Information Systems and dr protection of Government information. This clause does not alter a diminish any existing tights, obligation or liabilityunder any other civil and/or criminal law, rub, regulation or mandate. iL General Definitions The following general definitions aptly to this clause. Specific definitions also apply as set forth in other raragaphs. A. Woman means any can munication or mprtsentation of lcnowledgc such as facts, data, or opinions, in any form or medium. including textual, nanerical, graphic, cartographic, narrative, or audiovisual information inducts information in an electronic format that allows it be stored, retrieval or transmittal, also referral to as "data," and "pemildly identifiable information" (1:11"), legardloss of kin 13. e , 'Identifiable information (or PID meats any information about an individual maintained by an agency, including., hit not limited to, information related to education, financial transactions, medical history, and crim inal orcmploymmt history and information, which can be used to distinguish or nee an individual's idernity, such as his or her mme, social security nunber, date and place of birth, mother's maiden name, biometric records, etc., including another pasonal information which is linked or linkable to an individual. C. DOJ Information mars any Information that is owned, produced, carolled, land z trxt by, or otherwise within the astody orrcsponsibilityoftheiQT, including, without limitation, Information related to DOJ progratns or personnel. It includes, without limitation, Information (1 ) provided by agar:ratedfa the DOJ, (2) managed or acquired by Conti-idol for the DOJ in connection with the performance of tie contract, and/ (3) acquired in atkr to perform de contract. D. Information %stem meats any !maces, or set of It urccs organized for accessing, collecting, storing, processing, maintaining, using, sharing, retrieving, disseminating, transmitting, adisposing of (harinafter collectively, ypanasing, storing, or transmitting') Information. • CoyaretinfamaationSystan means any information system mod for, involved with, or allowing, the processing, storing, or transmitting of DOJ information. ill. Confidentiality and Nondisclosure of DOJ information A. Preliminary and final cklistrables and all associated %%pricing papas and material garrated by Cantor containing DOJ Information are the property of the U.S. Govarment and mum be submitted to the Connoting Officer ("C0') or the CO's Repose name ("OCR') at the conclusion of the cased. Tie U.S. Goweranent has unlinked data rights to all such deliverables and associated working papets and materials inaccordancewith FAR 52.227-14. i3. All documents produced in dr pafonnanx of tits contact containing DOJ Incarnation are the property of the U.S. Government andContractor shall miler ropnxlux nor release to any third-partyat any time, including during or at expiration or termination of the cent without the prior written permission of the CO. C. Any Dui infamation made available to Cantor under this contract shall be used only for the purpose of performance of tics cotmact and shall not be divulged or male known in any manna to any persons accept as may be necessary in the performance of this contrm. In performance of dis cant, Contractor assumes nsporsibility for the protection of the confidentiality of any and all DOJ Information proctood, stored, or transmitted by the Cameo: When requested by the CO (typically to mar than annually), Cantor shall provide a report to the CO identifying, to the best of Contractor's law:ledge and belief, the tyre, am an, and level of sersitivity of the DOJ Information processed, stoned, or transmittedunder the Caw, including an estimate of the number of EFTA00141485

158NAS21D00000114 Page 10 of 24 indi iduals far who FII has been pnxessed, stored or transnitted under de Contract and whether such information includes social security numbers (in whole or in part). IV. Compliance with Information Technology Security Policks, Procedures and Requirements A. For all Co aed information Systems, Cart actor SR comply with all security requiranans, inducting but not limited to the regulations and guidance found in the Faktal Information Scarcity Management Act of 2014 CTISMA"), Privacy Act of 1974, E- Go ernment Act of 2002, National Institute of Standards andTechnology ("NEST") Spacial Publications esn, including NIST SP 803-37, 800-53, and 800-60 Volumes I and Ii, Federal Information Processing Standards ("PIPS') Publications 140-2,199, and 200, OMB Memoranda, Fedaal Risk and Authorization Manganant Program (fedRAMr), DO IT Security Standards, including DOJ Order 2640.2, as amended. These nxtuntments include but arc not limited to: 1. Limiting axes to DCU infommationand Covered Information Systems to authorized uscrs and to vat ba-uuns and functions that authorized usas are permitted to texacise; Pm iding security awararss training including, bra not limited to, nxognizing and reporting potaiial indicators of insider threats to teas and managrs of DOJ Information and Corcred Information Systems; 3. Creating, pawing, and retaining Co cred information Syaern audit records, repasts, and supporting documanation to amble re iming, monitoring, analysis, in estigation, reconstruction, and reporting of uniay.ful, unauthorized, or inapAup iaa activity related to such Co ard Information Systans and/or DOJ Information; 4. Maintaining authorizations to opaate any Co avd information System; 5. Parenting continuous monitoring on all Clowned Information Systems; 6. i stablishing and maintaining baselim configurations and in armories of Covered Information Systems, including hardware, software, firmware, and documentation, throughout the Information Syste Development Lifecycle, and establishing and enforcing sccurity configuration settings for IT products employed in information Systang 7. Ensuring appropiate contingency planning has been patterned, including DOJ Information and Covered Information Syste backups; 8. Identifying Co erect Information Syste usas, processes wing on behalf of users, or de ices, and authenticating and aifying the identifies of such users, prxesses, or de ices, using multifactor authentication or 1 ISPD-I2 compliant audentication methods what required; 9. Establishing an opezational Maid= handling capability for Co erect information Systems that includes adequate prepatation, detection, amlysis, containment, rood cry, and user response acti hies, and racking, documenting, and reporting incidents to appropriate officials and authorities whir Contractor's organization and the DOJ; 10. Performing periodic and timely maintenance on Coveted information Systems, and pro iding effective controls on tools, techniques, methanisms, and perscarl used to conduct such maintenance; 12. Protecting Covered Information Systc media containing DOJ Information, including paper, digital and electronic limiting =ass to DOJ Information to authorized usas; and sanitizing or destroying Covered information Systc media containing DOJ information before disposal, Masa or rase of such media; 13. Limiting physical access to Covered information Systems, cquipm era, and physical facilities housing such Covered information Systems to authorized US. citizens unless a wai er has bear granted by the Contacting Officer COY), and protecting the physical facilities and support infrastructure for such information Systems; 14. Screening individuals prior to autherizing access to Covered Information Systems to ensure compliance with DOJ Security standards; IS. Assessing the risk to DOI information in anted information Systems periodically, including scanning for vulnerabilities and mediating such ulnerabilitics in accordance with DOJ policy and ensuring the timely two al of assets no longer supported by the Contractor, EFTA00141486

15BNAS21D00000114 Page 11 of 24 16. Assessing the security controls of Co ard Information Systan s periodically to &amine if fir controls am effective in their application, de eloping and implan eating plans °faction designed to corrxt deficiencies and eliminate or reduce ulnaabilitics in such Information Systans, and monitoring security controls on an ongoing basis to ensue the contimrd cffecti ers of the controls; 17. Monitoring, controlling, and protecting information transmitted or received by Co ered information Systems at dr went! boundaries and key interml boundaries of such information Systems, and an playing architectural designs, software de ckpment techniques, and systems engineering principles that promote effecti e security; and 18. identifying, reporting, and correcting Co and Information Syste security flaws in a timely manrrr, pm Wing protection fro malicious code at appropriate locations, mantoring security alerts and advisories and taking appropriate action in response. B. Contractor shall not prixess, store, or transmit DOJ information using a Co and Information Syste without fast obtaining an Authority to Operate ("ATO") for each Co and information System. The ATO shall be signed by the Authorizing Official for the DOJ component responsible far maintaining the security, confidaniality, integrity, and availability of the DOJ Information under this calm. The DOJ sandanis and requiremaros for obtaining an ATO may bc found at DOJ Order 2640.2, as amaxied. (For Cloud Computing Systems, sec Section V, below.) C. Contractor dell ensue that ID Non-U.S. citizenaccesses orassiss in the de clopment, ()canna% managematt, or maintenancc of any DOJ Informatiat Sysem, unless a waiver has been granted by the by the DOJ Canponent i lead (or his or her designee) responsible for the DOJ Information System. the Dial Chief information Officer, and the DOJ Security oirna. D. When requestal by the DOI CO or COR, or other DOJ official as described below, in connection with DQI's efforts to ensure compliance with security requiremems and to maintain and safeguard against throats and hazards to the security, cafilentiality, integrity, and a ailability of DOJ Information, Contractor shall pro ide DOJ, including the Office of inspector General ("CiCe) and Fedaal law enfaeanent componans, (1) access to any and all information and meads, including electronic information, mgarding a Covaed information System, and (2) physical access to Conuactor's facilities, installations, systems, operations, doaiments, records, and databases. Such access may include indepaident alidation testing of controls, systc penetration testing, and FiSMA data re rows by MI or agents acting on behalf of DOJ, and such access shall be pro iced within 72 hours of the request. Additionally, Contractor dell cooperate with DQi's efforts to assure, maintain, and safeguard the security, confidentiality, integrity, and availability of Dal Information. E. The use of Contractor-owned laptops or other portable digital or elecuunic malia to proms or store DOJ information co oral by this claw is prohibited until Contractor po ides a letter to the DOJ CD, and obtains the CO's appro al, certifying compliance with the following mquirtments: 1. Media must be encrypted using a NiSi FIPS 140-2 appo ed product., 2. Contractor must daelop and im pkment a process to ensure that security and other applications software is kept up-to-date; 3. What applicable, media mutt utiliiv anti ins software and a host-based firewall mechanism; 4. Contractor must log all computer-tradable data extracts from databases holding DOJ Information and verify that each extract including such data has been erased within 90 days of extraction or that its to is still mquired. All DOJ information is sensiti e information unless spuillally designated as non-sensitive by the DO; and, 5. A Rules of Behavior ("ROB') font must be signed by users These rules ma address, at a minimum. authorized and official use, inhibition against unauthorized usas and use, and the piaecLion of DOJ information. The form also mist notify the user that he orsir has no reasonable expectationof privxy mgarding any canmtmications transmitted through or data stored on Contractor-owned laptops a other portable digital aelectronic media. F. Contractor-owned ranonable m a containing DOJ Information shall not be rano ed fib DOJ facilities without prior aggro al of the DOJ CO or COR. G. When no longer needed, all media mum be processed (sanitized, degaussed, a destroyed) in acconiance with DOJ security requiranents. Contractor mum keep an accurate in entay of digital ad:cm:tic media used in tlr performance of DOJ contracts. L Contractor must remo call DOJ information fro Contractor media and return all such information to the MT within 15 days of the expirationor terminationof the contract, unless otherwise extended by tie CO, or wai ed (in part or whole) by the CO, EFTA00141487

15BNAS21D00000114 Page 12 of 24 and all such information shall be rotund to the D01 in a format and form axepable to the DOJ. The ran al and return of all DOi information mist be accanplished in accordance with DOJ IT Scanty Standard roquiranents, and an official of de Contractor shall pro ide a %written certification certifying the =oval and rerun of all such information to the CO within 15 days of the remo al and return of all DOJ Infonnation. J. Dal, at its discretion, may suspend Contractor's access to any DOJ information, or terminate the contract, when DOJ suspecs that Contractor has failed to comply with any security requitement, or in dr event of an information Syste Security incident (see Section V.E. below), where the Department detain lois that either c antgi cs cause for such action. The suspension of access to DQ1 Information may last until etch time as DOI, in its sole disaeticn, &laminas that the situationgiving rise to such action has been corrocted or no longer exists. Contractor un&rstancls that any stspasion or termination in axordanoe with this po ision shall be at no cost to the DOJ, and that upon oequest by the CO, Contractor mutt immediately return all DOJ Information to DOJ, as well as any media upon which DOJ information asides, at Cant actor's expense. V. Cloud Computing A. Cloud Computing means an information Systc having dr essential characteristics described in MST SP 800-145, The NEST Definition of Cloud Computing. For dr sake of this pro ision and clatsc, Cloud Canputing includes Software as a Servkr, Platform as a Service, and iniiastructtre as a Service, and deployment in a hi ate Cloud, CommunityCloud, Public Cloud, or Hybrid Cloud. B. Cella-actor may not utilize dr Cloud system of any CSP unless: 1. The Cloud systc and CSP ha e been evaluated and approved by a 3PAO certified taller FedRAMP and Contractor has pro idcd the mast current Security Assmsnent Report ("SAR') to the DOJ CO for consickration as part of Cauractor's o call Systc Security Pb, and any subsequent SARs within 30 days of issuance, and has received an ATO fro the Authorizing Official for the DOI component responsible for maintaining the security confidentiality, integrity, and availability of the DO.i information under contract; or, 2. if not certified under FaIRAMP, the Cloud Syste and CSP have rood elan KID sigtrd by the Authorizing Official for the DOJ component imponsible for maintaining the security, anifidathality, integrity, and a ailability of the DOI information under the contract. C. Cella-actor must ensure that the CSP albws DOJ to access and 'erne c any DOJ information i d, stored or transnitted in a Cloud systc under this Can't within a mascnable time of any such request, but in no event less than 48 bons fro the rogues. To crane that the Dal can filly and appropriatelysmith and retrieve DOJ information fro dr Cloud system, access shall include any schemas, meta-data, and other asseciated data artifacts. VI. Information System Security Breach or Incident A. Definitions I. Confirm al Security Breach (hatinafter, "Confirmed Bleach') means any confirmed urntahorized atposuie, loss of control, compromise, cxfiltration, manipulation, disclosure, acquisition, or accessing of any Co cred Information System or any DOJ Information accessed by, mitt able from, processed by, stored on, or transmitted within, to or fro any such system. 2. Potential Security Breach (hatinaftr, "Potential Ilach") means any suspected, but unconfined, Co and Information Syste Security Breach. 3. Seatrity incident mars any Confirmed or Potential Co Bred Information System Security 13verch. B. Confirmed Broth. Contractor shall immediately (and in no c ant later than within 1 hour of discovery) report any Confirmed Breach to dr DOJ 00 and the CO's Represented c ("CDR"). If the Confirmed Brachoccurs reside of regular business hours and/or neither the DOI CO nor the CDR can be reachal, Connector mist call DOJ-CERT at 1-866-US4-CERT (1-866-8742378) immediately (and in no event later than within 1 hair of disco cry of the Confirmed Bleach), and shall notify the CO and OOR as soon as practicable. C. Potential Bleach. EFTA00141488

1驱N婚21D00000114 Page 13 of 24 1. Centractor shall report any Potential Breach within 72 lbws of detection to the D01 CO and the CDR, unless Contractor has (a) completed its in estigation of thc Potential Brach in a.ccordance with its own inter 枫I policies and procedu1、 far identification, in estigation and mitigation of Security Ircidens and (b) determined tint that has been no Confirmed Bara：h. 2. If Connaaor has not ma& a debunk rion vvithin 72 hours笛（梵trctinn of the Potential Breach wtether an Ccnfirmed Etrach has ocarral, Contractor shall rq)ort the Potential Reach to tic DOI 00 and COR within ar-hour (Lc , 73 hours firm detection of the Potential Bata：h)．If the time by which to report tic Potential Breach occurs outside碰K君ular business hours and/or ncillxr the DOI CO nor the CDR can be itached, Ccfmactor must call tic I刃J Computcr Emergary Readiness Team (D0J-CERT) at I-866一US4-CE 乏T (I-&镉-874-2378) within cnc-hour（讹．，乃hours fro detection of tic Potential Breach) and contact the DOJ CO and OOR as scon as practicable. a Any report submitted in accordance with paragraphs (B) and (C), abo a shall idattify (1) both the Information Systans and DOJInfamation in ol (Aor at risk, including the typt, amount, and k el of sasiti ity of the DOJ Information and, if tic 加3 Information corsairs PII, thc estimated number of uniqic imams of PII, (2) all siqs and prox cs being undertaken by Cattractor to minim i , ra11edy, and/or in estigue the Security Incident, (3) any and all other information as requimd by the US- CERT Federal Incickft Notification Gukkl诋s, including the functional imps：t, information in1pact, impact to ma) , threat ectcr, mitigatbn details, and all a ailable incident hails；and (4) any other information specifically requested by theD0J. Contractor shall continue to pro kb written updates to the DOI CO regarding tic status of tic Security Incident at least every three (3) cakndar days until informed otkrwise by the DOI 00. E. All detemilintions regarding wIrther and wtrn to notify individuals arWor fedaal agencies potentially affected by a Sccurity Incident will be made by DOJ saner officials or the DOJ Cat Management Tea at DOJ's discretion. F. Upon notification of a Security Incident in accordance with this section, Contractor must provide to DOI full access to a』秽 affected or potentially affectcd facility and/or Information Systan. imb Kling access by the DOJ OIG and Fedaal law enforcement orgartitations, and undertake any and all lisp:use actions I垧I&lambs am requiltd to ensue the protection of DOI Information, including pro iding requested images, log files, and e information to facilitate rapid nesalution of any Security bridal. G. DOJ, at its sob discretion, may obtain, and Contractor will permit, tic assistance of other federal ag:ncics and/or third party cam-actors or firms to aid in nsponse acti ides related to any Security Incident. Additicnally, DOJ, at its sole dixretion, may roar antiwar to retain, at Centractor's expense, a Third I物ty＾露输ng Organiation (3PAO), a.cceptable to DOJ, with exp raw in incident rat劫nse, compromise a镳：ssmatt, and federal searity control reqtimments, to =duct a thorough ulnerability and security assessnent of all affected Infonaut:in Systems. II. Response acti ides related to any Security Incident undertaken by DOJ, ircluding acti itics undertaken by antra:tor, other fedaal agarics, and any third-party contractors or finns at tic request or dim/ion of DOJ, may include inspections, in csti踟tits, forasic re icws, data analyses and processing, and final detennbations of responsibility for the Security Incident and/or liability for any ackliticall reqx acti itics. Contractor§all be nesper敝bile for a II costs a亚I mlatedrsXi= allocations mcpimd for all such 氏醇狐］骈：acti ities mlated to any Security Incident, including the vest of any penetration testing. VII. Pasonally Identifiable Information Mill-ration Requirement antiwar certifies that it has a sccuri桫po鬣yin pbee that contains proccdurs to pm ptly notifyany indi idual whose Per驳malty Identifiable Information ("my) 认'n, or is reasonably detarn ined by DOJ to ha c been, cantranised. Any natification§昭II be ccordinatcd with the DOI CO and shall not proceed until the DOI has made a detaminatien that notification 认ould not impede a law enforcement investigation or jeoparlize naticnal security. The method and content of any notification by Contractor thall be coordinated with, andsubject to tic apIroyal of, DQI. Contractor shall be rest为nsible far taking corrective action consistent认ithDOJ Data Breach Notification Procedures and as directed by tic DOI CD, including all COgS andexpenses associated with such corrxti e action, which may include providing credit mcnitoring to any i di idt Is whos: Pll was actually or potentially compromised. VIII. Pass-through 破Seal抒ty Requirements to Subcontractors and CSPs Tic mqtimm ants Kt forth in the preceding paragrapis of this c姻iseapply to all subcontra.ctas and CSPs who pale= work in connection with this Contract, including any CSP providing sentes for any otter CSP under this Contract, and Contractor shall flow do ;mins clause to all subxntractas and CSPs performing under this contract My btrach by any subcontractor or CSP of any of ttc po isions set forth in this clause will be attributed to Contractor. 貌216-19 Order Limitations (Oct 1995) EFTA00141489

15BNAS211:100000114 Page 14 of 24 (a) Minimu order. When the Government requires supplies or services covered by this contract in an amount of less than one for any single item listed on the SE 1449 in Blocks 19-24 the Go emmcnt is not obligated to purzhase, nor is the Contractor obligated to furnish, those supplies or su-viees under the contract. (b) Maximum order. The Contractor is not obligated to honor— ( I ) Any order for a single he in excess of the estimated quantities identified on the SF 1449 (Block 21. Quantity) within the current contract performance period- (2) Any order for a combination of items in excess of the estimated quantities identified on the SF 1449 (Block 21. Ouantity) within the current contract performance period; or (3) A series of orders fit, the same ordering office within 30 days that together call for quantities exceeding the limitation in paragraph (b)(I) or (2) of this section. (c) If this is a requirements contract (Le., includes the Requirements clause at subsection 52.216-21 of the Federal Acquisition Regulation (FAR)), the Go ern ment is not required to order a part of any one requirement fro the Contractor if that requirement exceeds the maximum-order limitations in paragraph (b) of this section. (d) Notwithstanding paragraphs (b) and (c) of this section, the Contractor shall honor any order exceeding the maximum order limitations in paragraph (b), unless that order (or orders) is returned to the ordering office within 7 days after issuance, with written notice stating the Cont actor's intent not to ship the item (or items) called for and the reasons. Upon receiving this notice, the Go eminent may acquire the supplies or services fro another source. (End of clause) 52.216-18 Ordering (Oct 1995) (a) Any supplies and services to be finished miler this contract shall be ordered by issuance of delivery orders or task orders by the individuals or activities designated in the Schedule. Such orders may be issued from the fret day through the last day of the contract's effective period (h) All delivery orders or task orders arc subject to the terms and conditions of this contract. In the event of conflict between a delivery order or task order and this contract, the contract shall control. (e) If mailed, a delivery order it task order is considered "issued" when the Government deposits the order in the mail. Orders may he issued orally, by facsimile, or by electronic commerce methods only if authorind in the Schedule. (End of clause) 52.217-8 Option to Extend Services (Nov 1999) The Government may require continued performance of any services within the limits and at the rates specifial in the contract. These rates may be adjusted only as a result of revisions to prevailing labor rates provided by the Secretary of labor. The option provision may be exercised more than once, but the total extension of performance hereunder shall not exceed 6 months. The Contracting Officer may exercise the option by written notice to the Contractor within the current contract period. (End of clause) 52.204-21 Basic Safeguarding ofCovered Contractor Information Systems (June 2016) (a) Definitions. As used in this clause— Covered contractor information system means an information syste that is owned or operated by a contractor that processes, stores, or transmits Federal contract information. EFTA00141490

15BNAS21D00000114 Page 15 of 24 Federal contract infannatia: means information, 110t intended for public release, that is provided by or gu mated for the Go airman under a contract to de clop or deliver a product or service to the Go anment, but not including information provided by the Go ailment to the public (such as on public web sites) or simple transactional information, such as rccessary to process paytnents. Infamy:ion means any communication or representation of lea wkxlge such as facts, data, or opinions, in any maliu or farm, including textual, numerical, graphic, cartographic, narrathe, or audio isual (Committee on National Security Systan s instruction (CNSSI) 4009). Infoonat ion systemmeansadisctetcsct of information resaaces ceganized far the collection, processing, maintenance, use, sharing, dissent imtion, or disposition of information (44 U.S.C. 3502). Safeguarding means meastues or controls that are pacribed to protect infamation systems. (b) Safeguarding requirements at:diva-Sures. (1) The Contractor shall apply the following basic safeguarding requirements and procedurs to protect co (bred contractor information systans. Requimments and procedures for basic safeguarding of co erred contractor information systans shall include, at a minimum, the following security controls (i) Limit information syste access to authorized users, processes acting on behalf of authorized uses, cede ices (including other information systems). (ii) Limit information systc access to the types of transactions and functions that authorized osiers arc (ermined to =cute. (ii) Vcrify and ccntroVlim it connections to and use of external information systems (i ) Control information posted or processed on publicly accessible information systans. ( ) Idanify information systc usas, prin.-viz acting on behalf of users, or devices. ( i) Authenticate (or crify) the identities of those users, processes, or &vices, as a prerequisite to allowing access to organizational information system s. ( i) Sanitize or destroy information syste media containing Falaal Contract information before disposal or release for muse. ( Limit physical access to organizational information systans, equipmai, and the mspecti cop:rating environmans to authorized indi ideals. (ix) Escort isitas and monitor isitor t-tivity, maintain audit logs of physical access and control and manage physical access de ices. (x) Monitor, MIMI, and protect organizational communications (i.e., information transmitted or rccei ed by organizational information systems) at the external boundaries and key internal boundaries of the infamation systems. (xi) Implement subnetworks for publicly accessible syste components that are physically or logically separated fro inter ml networks. (xi) Identify, report, andcorrect information and information system flaws in a timely mailer. (xiii) Provide II (ion fro malicious code at appropriate locations within organizational information systems. (xi ) Update malicious code protection mechanisms when new releases am available. (xv) Perform periodic scars of the information systc and real-time scans of files from external sautes as files are downloaded, opened, or accutaL (2) Other repayments. This clause does not relic e the Contractor of any oiler specific safeguarding mqtimments specifEd by Fe laal agaries and departments relating to co trod contractor information systems generally or other Fedaal safeguarding requirements for controlled mciassified information (CUI) as established by ExecuticOnla 13556. EFTA00141491

15BNAS21D00000114 Page 16 of 24 (c) Subcontracts. The Contractor shall include the substance of this clause, including this paragraph (c), in subcontracts under this contract (including subcontracts for the acquisition of commercial items, other dun commercially a ailable off-the-shelf items), in which the subcontractor may ha c Federal contract information residing in or transiting through its information system. (End of clause) 52.216-21 Requirements (Oct 1995) (a) This is a requirements contract for the supplies or services specified, and effective for the period stated, in the Schedule. The quantities of supplies or services specified in the Schedule arc estimates only and are not purchased by this contract. Except as this contract may otherwise provide, if the Goverment's requirements do not result in orders in the gm-unities described as "estimated" or "maximum" in the Schedule, that fact shall not constitute the basis for an equitable price adjustment. (h) Delivery or performance shall he made only as =thorned by orders issued in accordance with the Ordering clause. Subject to any limitations in the Order Limitations clause or elsewhere in this contract, the Contractor shall famish to the Government all supplies or services specified in the Schedule and called for by orders issued in accordance with the Ordering clause. The Government may issue orders requiring delivery to multiple destinations or performance at multiple locations. (c) Except as this contract otherwise provides, the Government shall order from the Contractor all the supplies or services specified in the Schedule that are required to he pumhased by the Government activity or activities specified in the Schedule. (d) The Government is not required to purchase from the Contractor requirements in excess of any limit on total orders under this contract. (e) If the Government urgently requires delivery of any quantity of an item before the earliest date that delivery may be specified under this contract, and if thr Contractor will not accept an order pmviding for the accelerated delivery, the Government may acquire the urgently required goods or services from another source. (0 Any order issued during the effective period of this contract and not completed within that period shall he completed by the Contractor within the time specified in the order. The contract shall govern the Contractor's and Government's rights and obligations with respect to that order to the same extent as if the order were completed during the contract's effective period; pmvided, that the Contractor shall not he required to make any deliveries under this contract after the last day Of the contract's effective period. (End of clause) 52.217-9 Option to Extend the Term of the Contract (Mar 2000) (a) The Government may extend the term of this contract by written notice to the Contractor within the current contract deriod; provided that the Government gives the Contractor a preliminary written notice; of its intent to extend at least 60 days [60 days unless a different number of days is inserted] before the contract expires. The preliminary notice does not commit the Government to an extension. (b) If the Govirnment exercises this option, the extended contract shall be considered to include this option clause. 11 (c) The total duration of this contract, including the exercise of any options under this clause, shall not caeca( five years (excluding the exercise of any option wider the clause 52.217-8. Option to Extend Services). tr (End of clause) 52.232-19 Availability Of Funds For The Next Fiscal Year (Apr 1984) Funds are not presently a ailable for performance under this contract beyond September 30 of the base year or any option year exercised. The Government's obligation for performance of this contract beyond that date is contingent upon the a ailability or appropriated funds fro which payment for contract purposes can he made. No legal liability on the part of the Gar/ailment for any EFTA00141492

15BNAS21 D00000114 Page It of 24 payment may arise for performance under this contract beyond September 30 of the base year or any option year exercised, until funds are made a ailablc to the Contracting Officer for performance and until the Contractor receives notice of a ailability, to be confined in writing by the Contracting Officer. (End of clause) 52.232-18 A ailability Of Finis (Apr 1984) Funds are not presently available for this contract. The Goverment's obligation ruder this contract is contingent upon the availability of appropriated finds from which payment for contract purposes can be made. No legal liability on the part of the Government for any payment may arise until funds are made available to the Contracting Officer for this contract and until the Contractor receives notice of such availability, to be conformed in writing by the Contracting Officer. (End of clause) BOP 2852.242-71 EVALUATION OF CONTRACTOR PERFORMANCE UTILIZING CPARS (APR 2011) The services, although not directly sup- is-N, shall be reviewed by Federal Bureau of Prisons (BOP) staff to ensure contract compliance. The contractor's performance will be evaluated in accordance with FAR 42.15. Contract monitoring reports will be prepared by the Contacting Officer's Representative (COR) and maintained in the contract file. In accordance with FAR 42.1502 and 42.1503, agencies shall prepare an evaluation of contractor performance and submit it to the Past Performance Information Retrieval System (PPIRS). The BOP utilizes the Department of Defense (DOD) web-based Contractor Performance Assessment Reporting System (CPARS) to provide contractor performance evaluations. The contractor shall provide and maintain a current c-mail address throughout the life of the contract. The contractor will receive an e-mail firm the Focal Point thru the following website address webptsmhalnavy.milwhen the contract is registered in CPARS. The e-mail will contain a "user ID" and temporary password to register in the CPARS system. The contractor must be registered to access and review its evaluation and/or provide a response. if assistance is required when registering, please contact the Contracting Staff/Focal Point. (End of Clause) 52.237-7 Indemnification and Medical Liability Insurance (Jan 1997) (a) It is expressly agreed and understood that this is a nonpersonal services contract, as defined in Federal Acquisition Regulation (FAR) 37.101, under which the professional services rendered by the Contractor an: rendered in its capacity as an independent contractor. The Cm ailment may e aluate the quality of professional and administrati c services pro idled, but retains no control o cr professional aspects of the services rendered, including by example, the Contractor's professional medical judgment, diagnosis, or specific medical treatments. The Contractor shall he solely liable for and expressly agrees to indemnify the Go eminent with respect to any liability producing acts or omissions by it or by its employees or agents. The Contractor shall maintain during the term of this contract liability insurance issued by a responsible insurance carrier of not less than the following amounts) per specialty per occurrence: MI million. (h) An apparently success-ful offeror, upon request by the Contracting Officer, shall furnish prior to contract award evidence of its insurability concerning the medical liability insurance required by paragraph (a) of this clause. (c) Liability insurance may be on either an occurrences basis or on a claims-made basis. If the policy is on a claims-made basis, an extended reporting endorsement (tail) for a period of not less than 3 years after the end of the contract term must also be pro idcd. (d) E idence of insurance documenting the required coverage for each health care pro icier who will perform under this contract shall be pm ided to the Contracting Officer prior to the commencement of services under this contract. If the insurance is on a claims-made EFTA00141493

15BNAS211300000114 Page 18 of 24 basis ands idence of an extended reporting endotsanent is not pro ided prior to dc commencanent of services, eidence of such endasement stroll be provided to the Contracting Officer pier to tic expiration of this cant. Final payment under this contract shall be withheld until c idence of the extended repotting enckirseman is pro ided to the Contracting Officer. (e) The policies e idaring required insurance shall also tornado an endorwment to de effct that any cancdlation or material change ad ersely affecting the Go ernment's it thrust shall not bc efft-ti c until 30 days aft!' tM insurer or the Contractor gi es written notice to the Contracting Officer. if, during the pafonnancc period of the contract the Cantor changes insurance pro its, the Contractor must provide e idence that dc Go emment will be intemnificd to the limits specified in paragraph (a) of this clause, for tie atilt paled of the contract, either order the new policy, era combination of old and now policies. (t) The Connactor shall insert the substance of Ns clause, including this paragaph (t), in all subcattracts under this cartract for health cam services and shall require such subcairrtas to pro lb c idence of and maintain insurarce in acconlance with paragraph (a) of this clause. At least 5 days befat the commencement of work by any subcontractor, the Canter shall furnish to the Camacting Officer evidare of such insurance. * Cattracting Officer insert the dollar vahc(s) of snuslard covaage(s) pre ailing within the kcal community as to the specific medical specialty, or specialties, cemented, or such higher amount as tine Contracting Offctr deans necessary to put= the Go ernment's intatsts. (End of dause) 52212-5 Contract Terms and Conditions Requital to implement Statutes or &coal e Orders- Commercial Items (Jun 2020) (a) The Contractor shall comply with the following Fatal Acquisition Regulation (FAR) clauses, which arc incorperated in this cant by ttfettnce, to implement provisions of law or Executive atlas applicable to acquisitions of commarial itans (1) 52203-1% Prchibition on Requiring Certain Imam! anfidentiality Aptanents or Statements (Jan 2017) (section 743 of Division E, Title VII, of the Corsolidated and Further Continuing Appropriations Act, 2015 (Pub. L 113-235) and its successor provisions in subsequatt appropriations acts (and as extended in cartinuing resolutions)). (2) 52204-23, Prohibition on Ccaracting for i fardware, Software, and Services Developed or Provided by Kaversky Lab and Other Caved Entities (Jul 2018) (Section 1634 of Pub. L. 115-91). (3) 52204-25, Proatition on Contracting for Certain Telecommunications and Video Surveillance Services or Equipmatt. (Aug 2019) (Section £29(a)(1)(A) of Pub. L 115-232). (4) 52209-10, Prchlition on Canting with !mated Domestic Corporations Nov 206). (5) 52233-3, Protest After Award (Aug 1996) (31 US.C. 3553). (6) 522334, Applicable Law for Breech of Contract Claim (Oct 20D4XPublic Laws 108-77 and 108-78 (19 U.S.C. 3805 note)). 03) The Cantor shall comply with the FAR claims in this paragraph (b) that de Contracting Officer has indicated as being incorpaatal in this contrn by mference to implement provisions of law or Executive atlas applicabb to acquisitions of commercial items [ContrxiingOfficer check as appropiate.] X (1) 52203-4 Restrictions on Subcontractor Sales to the Goveranent (Jun 2020), with Alternate I (Oct 1995) (41 U.S.C. 4701 and 10 U.S.C. 2402). (2) 52.203-13, Contractor Code of Business Ethics and Concha Qua 2020) (41 USE. 3509)). (3) 52.203-15, Whisdeblov.tr Protections under the American Recoveryand Reinvestment Act of2009 (June 2010) (Section 1553 of Pub. L 111-5). (Applies to contracts funded by the Amaican Recovay and Reinvestment Act of 2009.) X (4) 52.20440, Reporting Executive Can pensation and First-Tier Subccntract Awards (Jun 2020) (Pub. L. 109-282) (31 U.S.C. 6101 note). EFTA00141494