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Open Recommendations (25 total)

Bureau of Prisons: Additional Actions Needed to Improve Restrictive Housing Practices

GAO-24-105737
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8 Open Recommendations
2 Priority
Agency Affected Recommendation Status
Bureau of Prisons The Director of BOP should conduct an evaluation of previous SMU placements to determine and address the cause of disproportionate representation of individuals in certain racial groups in the SMU population. (Recommendation 4)
Open
BOP officials told us in September 2024 that it plans to evaluate SMU placement from 2018 - 2022 to determine whether there was disproportionate representation. If the evaluation results in a finding that disproportionate representation existed, BOP will assess what additional steps may be appropriate. We will continue to monitor BOP's actions to address this recommendation.
Bureau of Prisons
Priority Rec.
The Director of BOP should enhance oversight by developing and implementing a process to verify and document that facilities have implemented corrective actions that fully address all deficiencies. (Recommendation 2)
Open – Partially Addressed
As of September 2024, BOP has actions underway to address this recommendation. BOP has developed a new internal audit process to verify and document that facilities have implemented corrective actions to address deficiencies identified during internal audits. In March 2024, BOP issued interim guidance to facility leadership describing this new process. According to this guidance, the new internal audit process is designed to identify causes of common findings that recur across multiple facilities and to implement a follow-up process to mitigate the recurrence of findings. To fully implement this recommendation, BOP must finalize and approve the program statement establishing the new audit process. We will continue to monitor BOP's actions to fully implement this recommendation.
Bureau of Prisons The Director of BOP should develop and implement a process to routinely analyze administrative remedy program data. (Recommendation 7)
Open
BOP officials told us in September 2024 that it plans to incorporate a review of Administrative Remedy Program data into a broader analyses of policy concerns and issues. In particular, because the Administrative Remedy Program does not currently collect and review data for the purposes of routine analysis, BOP officials said their General Counsel and research and evaluation staff were coordinating to determine the feasibility of an approach to address this recommendation. We will continue to monitor BOP's actions to address this recommendation.
Bureau of Prisons The Director of BOP should develop and implement a mechanism for routinely monitoring the extent to which facilities are applying the SMU placement criteria consistently and equitably across all BOP facilities should BOP reinstate the SMU program. (Recommendation 5)
Open
BOP officials told us in September 2024 that it is working to identify an appropriate replacement for the SMU program in conjunction with the ongoing National Institute of Justice study. This study is focused on the use and impact of restrictive housing in federal correctional facilities. Should BOP implement a replacement to the SMU program, we will monitor BOP's actions to address this recommendation.
Bureau of Prisons
Priority Rec.
The Director of BOP should develop and implement a mechanism to identify causes of common deficiencies that recur across multiple facilities and take steps to address those causes. (Recommendation 3)
Open – Partially Addressed
As of September 2024, BOP has actions underway to address this recommendation. BOP has developed a new internal audit process to verify and document that facilities have implemented corrective actions to address deficiencies identified during internal audits. In March 2024, BOP issued interim guidance to facility leadership describing this new process. According to this interim guidance, the new internal audit process is designed to identify causes of common findings that recur across multiple facilities and to implement a follow-up process to mitigate the recurrence of findings. To fully implement this recommendation, BOP must provide documentation showing that a mechanism to identify and address causes of common deficiencies that recur across multiple facilities has been implemented within the new internal audit process. We will continue to monitor BOP's actions to address this recommendation.
Bureau of Prisons The Director of BOP should develop and implement a process to address any identified patterns of noncompliance related to restrictive housing policies and other areas of program weaknesses. (Recommendation 8)
Open
BOP officials told us in September 2024 that it plans to incorporate a review of Administrative Remedy Program data into a broader analyses of policy concerns and issues. In particular, because the Administrative Remedy Program does not currently collect and review data for the purposes of routine analysis, BOP officials said their General Counsel and research and evaluation staff were coordinating to determine the feasibility of an approach to address recommendation 7. Addressing recommendation 7 is closely linked to addressing this recommendation (Recommendation 8), thus no action can be taken here until recommendation 7 is implemented. We will continue to monitor BOP's actions to address this recommendation.
Bureau of Prisons The Director of BOP should develop and execute an approach to fully implement all the 2014 and 2016 restrictive housing reports recommendations. For each recommendation that has not yet been implemented, the approach should include assigning implementation responsibility to appropriate officials, establishing a time frame for completion, and monitoring progress. In instances where BOP does not concur with a 2014 recommendation or deems it impractical, it should document its rationale and the alternative steps, if any, it plans to take. (Recommendation 1)
Open – Partially Addressed
As of September 2024, BOP has actions underway to address this recommendation. BOP has developed a recommendation implementation table to set forth its action steps for implementing the remaining open recommendations. The table is designed to also document BOP's rationale for its disagreement with any open recommendations and note the alternate steps it plans to take, if any, to address those recommendations. For each recommendation BOP agrees with and that has not been implemented, BOP has work underway to develop implementation plans, including assigning implementation responsibility to appropriate officials, and establishing time frames for completion. To fully implement this recommendation, BOP must finalize the table and execute its planned approach. We will continue to monitor BOP's actions to address this recommendation.
Bureau of Prisons The Director of BOP should develop and implement a mechanism for routinely evaluating SMU review documentation to ensure that incarcerated individuals progress through the SMU program levels in accordance with SMU policy should BOP reinstate the SMU program. (Recommendation 6)
Open
BOP officials told us in September 2024 that it is working to identify an appropriate replacement for the SMU program in conjunction with the ongoing National Institute of Justice study. This study is focused on the use and impact of restrictive housing in federal correctional facilities. Should BOP implement a replacement to the SMU program, we will monitor BOP's actions to address this recommendation.

Federal Prisons: Bureau of Prisons Should Improve Efforts to Implement its Risk and Needs Assessment System

GAO-23-105139
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2 Open Recommendations
1 Priority
Agency Affected Recommendation Status
Bureau of Prisons The Director of BOP should ensure that the monitoring efforts it implements can determine if BOP is conducting risk and needs assessments in accordance with First Step Act required and BOP internal timeframes. (Recommendation 2)
Open
In March 2023, we reported that BOP has not confirmed if its planned monitoring efforts will measure whether risk and needs assessments are completed according to First Step Act required and internal timeframes. We recommended that BOP ensure that the monitoring efforts it implements can determine if BOP is conducting risk and needs assessments in accordance with First Step Act required and BOP internal timeframes. BOP concurred with this recommendation. In response, in September 2023, BOP officials stated they planned to enhance its auto-calculation time credits application to integrate risk, needs, and time credits assessments into a single, monthly automated process. According to BOP, this application will automate and independently generate these assessments and will more clearly document completion of each of these assessments at the intervals prescribed by the First Step Act and BOP requirements. In February 2024, BOP officials stated that they are implementing monitoring efforts to ensure that risk and needs assessments are conducted in accordance with required timeframes. In August 2024, BOP officials stated that they anticipated the enhancements to be completed in December 2024. However, these officials stated that determining whether monitoring efforts are effective will not be possible until at least 1 year after implementation to account for the entire cycle of both initial risk and needs assessments and 180-day reassessments. To fully address this recommendation, BOP will need to implement its monitoring effort and ensure it can determine that BOP is conducting risk and needs assessments in accordance with First Step Act required and BOP internal timeframes.
Bureau of Prisons
Priority Rec.
The Director of BOP should document a complete list of all the unstructured productive activities that incarcerated people are able to participate in and earn First Step Act time credits. (Recommendation 7)
Open
In March 2023, we reported that BOP did not list the unstructured productive activities in its First Step Act Approved Programs Guide, or otherwise document a complete list of unstructured productive activities. To help address this issue, we recommended that BOP document a complete list of all the unstructured productive activities that incarcerated people are able to participate in and earn First Step Act time credits. BOP did not concur with this recommendation. In response to our report, BOP stated that it was not statutorily required to document such a list, and such action would not be useful or feasible. While the First Step Act and implementing regulations do not explicitly require BOP to document a complete list, the Act and regulations do provide an opportunity for eligible incarcerated people to earn First Step Act time credits if they successfully participate in programs or productive activities recommended based on their risk and needs assessment. Subsequently, BOP officials stated that they revised the First Step Act Approved Programs Guide in September 2023 to clarify that incarcerated people earn First Step Act time credits based on their "opt-in status." According to the guide, incarcerated people may begin opt-in status upon completion of all needs assessment surveys. Further, the guide states that a person would be in opt-out status-and not earn time credits-if the person refuses to complete any of the initial need assessments, declines recommended programming that correspond to an identified need, refuses to participate in the Financial Responsibility Program, is placed in disciplinary segregation, or during a period of absence (such as when an individual leaves a designated institution for an entire calendar day or more). However, according to BOP's program statement, eligible incarcerated people who successfully participate in evidence-based recidivism reduction programs or productive activities, including unstructured productive activities, may earn time credits. It further states that successful participation requires a determination by BOP staff that an eligible person has participated in the evidence-based recidivism reduction programs or productive activities that BOP has recommended based on the individual's risk and needs assessment and the individual has complied with the requirements of each program or productive activity. In February 2024, BOP officials stated that unstructured productive activities do not have an impact on opt-in status, and that opt-in status is how BOP defines "successful participation" for the purposes of First Step Act time credits. These officials stated that the "opt-in/opt-out" model was adopted for a variety of reasons. For example, the regulations state that incarcerated people should not be penalized by factors outside their control, such as unavailability of a recommended program at their facility. In February 2024, BOP officials stated they are aware of the inaccuracies in the program statement and are in the process of revising it, with a goal to complete internal development in 2024. In August 2024, BOP officials also stated that program statements are subject to change as they go through the BOP development and union negotiation process. The intent of our recommendation is for BOP to be transparent in a process that BOP has established in policy. To fully address this recommendation, BOP will need to either document a list of unstructured productive activities or update its policy to reflect these changes.
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