The Bureau of Prisons (BOP):
Operations and Budget
Nathan James
Analyst in Crime Policy
June 3, 2013
Congressional Research Service
7-5700
www.crs.gov
R42486
CRS Report for Congress
Prepared for Members and Committees of Congress
The Bureau of Prisons (BOP): Operations and Budget
Summary
The Bureau of Prisons (BOP) was established in 1930 to house federal inmates, professionalize
the prison service, and ensure consistent and centralized administration of the federal prison
system. The BOP is the largest correctional agency in the country, in terms of the number of
prisoners under its jurisdiction. The BOP must confine any offender convicted and sentenced to a
term of imprisonment in a federal court.
All BOP correctional facilities are classified according to one of five different security levels:
minimum, low, medium, high, or administrative. An inmate’s designation to a particular
institution is based primarily on the level of security and supervision the inmate requires; the
level of security and staff supervision the institution is able to provide; and the inmate’s program
needs. All inmates undergo a comprehensive intake screening when they are admitted to a BOP
facility. The BOP provides health care for all inmates either through each prison’s ambulatory
care clinics or by contracting for services through local hospitals. The BOP also provides mental
health treatment to inmates who demonstrate a need for it through staff psychologists. The BOP
has an established inmate disciplinary system, whereby sanctions are imposed on inmates for
committing prohibited acts. An inmate is allowed to request a review of his or her conditions of
confinement through the BOP’s Administrative Remedy Program. Inmates have access to a
variety of rehabilitational programs including education programs, substance abuse treatment,
vocational education, and work opportunities. In order to help aid an inmate’s transition back into
the community, inmates can be placed in a Residential Reentry Center (i.e., a halfway house) for
a period of time before their sentence expires.
Changes in federal criminal justice policy since the early 1980s have resulted in a continued
increase in the federal prison population. The number of inmates under the BOP’s jurisdiction has
increased nearly eight-fold (788%) from approximately 25,000 inmates in FY1980 to nearly
219,000 inmates in FY2012. Since FY1980, the federal prison population has increased, on
average, by approximately 6,100 inmates each year.
The burgeoning federal prison population has led Congress to increase appropriations for the
BOP’s operations and infrastructure. In FY1980, Congress appropriated $330.0 million for the
BOP. By FY2013, the total appropriation for the BOP reached $6.445 billion. The additional
funding for the BOP was necessary to cover the costs of providing services to a growing prison
population, expanding prison capacity, and hiring additional staff to manage the expanding
federal prison system.
The annual growth in the federal prison population has outstripped the BOP’s prison capacity,
resulting in overcrowding in the federal prison system. Congress could choose to mitigate some
of the issues related to federal prison population growth by appropriating more funding so the
BOP could hire additional staff and expand prison capacity to alleviate overcrowding. On the
other hand, Congress could also consider ways to reduce the number of inmates held in federal
prison by considering alternatives to incarceration, such as increasing good time credit for
inmates who participate in certain rehabilitative programs, placing more low-level offenders on
community supervision in lieu of incarceration, or reducing mandatory minimum penalties for
some offenses.
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The Bureau of Prisons (BOP): Operations and Budget
Contents
Introduction...................................................................................................................................... 1
BOP Operations ............................................................................................................................... 2
Managing Federal Correctional Facilities ................................................................................. 3
Providing for the Safekeeping, Care, and Subsistence of Inmates ............................................ 4
Providing for the Protection, Instruction, and Discipline of Inmates ........................................ 6
Preparing Inmates for Reentry................................................................................................... 9
BOP Appropriations ....................................................................................................................... 10
Figures
Figure 1. Nominal and Inflation-Adjusted Appropriations for the Bureau of Prisons,
FY1980-FY2013 ........................................................................................................................... 2
Figure 2. Appropriations for the BOP, FY1980-FY2013 ............................................................... 12
Tables
Table 1. Appropriations for the Bureau of Prisons, FY1980-FY2013 ........................................... 11
Table 2. Appropriations for the BOP, by Decision Unit, FY1999-FY2013 ................................... 15
Contacts
Author Contact Information........................................................................................................... 17
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The Bureau of Prisons (BOP): Operations and Budget
Introduction
The Bureau of Prisons (BOP) is the largest correctional agency in the country, in terms of the
number of prisoners under its jurisdiction.1 The BOP must confine any offender convicted and
sentenced to a term of imprisonment in a federal court.
Changes in federal criminal justice policy since the early 1980s—enforcing a growing number of
federal crimes, replacing indeterminate sentencing with a determinate sentencing structure
through sentencing guidelines, and increasing the number of federal offenses subject to
mandatory minimum sentences—have led to continued rapid growth in the federal prison
population. The number of inmates under the BOP’s jurisdiction has increased from
approximately 25,000 inmates in FY1980 to nearly 219,000 inmates in FY2012. Since FY1980,
the federal prison population has increased, on average, by approximately 6,100 inmates
each year.
The burgeoning federal prison population has led Congress to increase appropriations for the
BOP’s operations and infrastructure. In FY1980, Congress appropriated $330.0 million for the
BOP; by FY2013, the total appropriation for the BOP reached $6.445 billion (see Figure 1). Even
after adjusting for inflation, the BOP’s budget increased by nearly $166.3 million per year
between FY1980 and FY2013.2
The annual growth in the federal prison population has outstripped the BOP’s current capacity,
resulting in overcrowding in the federal prison system. The BOP reports that at the end of
FY2012, the federal prison system was operating at 38% over rated capacity.3 Congress could
choose to mitigate some issues related to federal prison population growth by appropriating more
funding so the BOP could hire additional staff and expand prison capacity to alleviate
overcrowding. On the other hand, Congress could also consider ways to reduce the number of
inmates held in federal prison by considering alternatives to incarceration, such as increasing
good time credit for inmates who participate in certain rehabilitative programs, placing more lowlevel offenders on community supervision in lieu of incarceration, or reducing mandatory
minimum penalties for some offenses.
This report provides an overview of how the BOP manages the growing federal prison population
and examines the BOP’s appropriations since FY1980.
1
Heather C. West, William J. Sabol, and Sarah J. Greenman Prisoners in 2009, U.S. Department of Justice, Office of
Justice Programs, Bureau of Justice Statistics, NCJ 231675, Washington, D.C., December 2010, p. 16,
http://bjs.ojp.usdoj.gov/content/pub/pdf/p09.pdf; hereinafter, Prisoners in 2009.
2
Based on a CRS analysis of the BOP’s annual appropriation for FY1980-FY2013 (see Table 1). Annual
appropriations were adjusted using the Consumer Price Index for All Urban Consumers (CPI-U).
3
Data provided by the U.S. Department of Justice, Bureau of Prisons.
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Figure 1. Nominal and Inflation-Adjusted Appropriations for the Bureau of Prisons,
FY1980-FY2013
Appropriations in billions of dollars
8
7
6
5
4
3
2
1
Nominal
2010
2005
2000
1995
1990
1985
1980
0
Inflation-adjusted
Source: U.S. Department of Justice, Bureau of Prisons.
Notes: Nominal appropriations were adjusted for inflation using data from the Consumer Price Index for All
Urban Consumers (CPI-U). Inflation-adjusted amounts are presented in FY2013 dollars. The Consumer Price
Index for FY2013 was based on the Congressional Budget Office’s projected increase in inflation (taken from
Table B-2 in The Budget and Economic Outlook: Fiscal Years 2013 to 2023). The spike in the BOP’s funding for
FY1990 was the result of Congress appropriating $1.512 billion for the B&F account (see Table 1). The FY2013enacted amount includes the amount sequestered per the Budget Control Act of 2011 (P.L. 112-25).
BOP Operations
The BOP was established in 1930 to house federal inmates, professionalize the prison service,
and ensure consistent and centralized administration of the federal prison system.4 Congress has
continued to modify the responsibilities of the BOP since its founding. Currently, the BOP has
several congressionally mandated obligations, including
•
managing and regulating all federal correctional institutions;
•
providing suitable quarters and for the safekeeping, care, and subsistence of all
persons charged with or convicted of federal crimes, or held as witnesses;
4
U.S. Department of Justice, Bureau of Prisons, About the Bureau of Prisons, p. 1, http://www.bop.gov/about/
index.jsp; hereinafter, About the Bureau of Prisons.
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•
providing for the protection, instruction, and discipline of all persons charged
with or convicted of federal crimes; and
•
preparing inmates for reentry after serving a term of incarceration.5
The sections below provide an overview of how the BOP operates the federal prison system in
order to meet its responsibilities.
Managing Federal Correctional Facilities
All BOP correctional facilities are classified according to one of five different security levels:
minimum, low, medium, high, or administrative. In general, high security facilities are referred to
as U.S. Penitentiaries (USP),6 medium and low security facilities are called Federal Correctional
Institutions (FCIs), and minimum security facilities are known as Federal Prison Camps (FPC).7
Federal Correctional Complexes (FCC) house more than one type of institution on the same
grounds.8 Administrative facilities are facilities with specialized missions (i.e., pretrial detention
centers, which hold inmates who are on or awaiting trial; and medical referral centers, which hold
inmates who need specialized medical care) and are capable of confining inmates at all security
levels.9 A facility’s security level is based on the facility’s features, which include the presence of
external patrols, towers, security barriers, or detection devices; the type of housing within the
institution; internal security features; and the staff-to-inmate ratio.10
After an offender is sentenced and remanded to the custody of the BOP by the U.S. courts to
serve a period of incarceration, the BOP assigns the new inmate to one of its facilities. All
assignments are conducted by the Designation and Sentence Computation Center (DSCC). All
federal inmates are assigned both a security and medical classification and then assigned to an
institution with a commensurate security level (i.e., minimum, low, medium, high, or
administrative) and medical care level (i.e., Care Level I through IV, see below). An inmate’s
assignment to a particular institution is based primarily on
•
the level of security and supervision the inmate requires;
•
the level of security and staff supervision the institution is able to provide; and
•
the inmate’s program needs (i.e., sex offender, substance abuse treatment,
educational/vocational training, individual counseling, group counseling, or
medical/mental health treatment).11
Other factors that might influence the initial designation for an inmate include
5
18 U.S.C. §4042(a).
In some cases, USPs can be designated to house medium security inmates. For example, USP Marion, USP
Leavenworth, and USP Atlanta house medium security inmates.
7
U.S. Department of Justice, Bureau of Prisons, Prison Types & General Information, http://www.bop.gov/locations/
institutions/index.jsp.
8
Ibid.
9
Ibid.
10
Ibid.
11
U.S. Department of Justice, Bureau of Prisons, Inmate Security Designation and Custody Classification, Program
Statement 5100.08, p. 1, http://www.bop.gov/policy/progstat/5100_008.pdf; hereinafter, Security Designation.
6
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•
the inmate’s release residence;12
•
the level of overcrowding at an institution;
•
any security, location, or program recommendations made by the sentencing
court; and
•
any additional security measures to ensure the protection of victims or witnesses
and the public in general.13
Inmates can be reclassified and reassigned to a new facility based on a review by the DSCC at the
request of the staff at the institution where the inmate is incarcerated. Inmates are also assigned
custody levels (i.e., community, out, in, or maximum) in addition to their security
classifications.14 Each custody level dictates the amount of staff supervision the inmate requires.15
An inmate’s custody classification is based on the inmate’s criminal history, current offense, and
institutional adjustment.16 An inmate’s custody level is routinely reviewed and often changes
during the period of incarceration.
The BOP considers proper management of the housing units in each facility to be one of the
hallmarks of its inmate management philosophy.17 Unit staff (e.g., the unit manager, case
manager, and correctional counselor) have offices in inmate living units. This management
structure facilitates regular contact between staff and inmates and allows BOP employees to
identify inmate concerns and potential problems.18 Unit staff are responsible for involving the
inmates housed in their units in programs designed to meet their needs (see below). Unit staff
meet with inmates on a regular basis to develop, review, and discuss their work assignments,
program opportunities, and progress, as well as to address any other concerns the inmate
might have.19
Providing for the Safekeeping, Care, and Subsistence of Inmates
All inmates undergo a comprehensive intake screening when they are admitted to a BOP facility.
The intake screening includes
12
It is the BOP’s policy to try to incarcerate an inmate in a facility that is within 500 miles of the inmate’s release
residence. U.S. Department of Justice, Bureau of Prisons, Designations, http://www.bop.gov/inmate_programs/
designations.jsp.
13
Security Designation, pp. 1-2.
14
An inmate’s custody level (i.e., community, out, in, or maximum) refers to the level of staff supervision the inmate
requires. For example, an inmate with a “community” custody level may be eligible for the least secure housing,
including any that is outside the institution’s perimeter; may work on outside details with minimal supervision; and
may participate in community-based program activities if other eligibility requirements are satisfied. However, an
inmate with an “in” custody level is assigned to regular quarters and is eligible for all regular work assignments and
activities under a normal level of supervision, but these inmates are not eligible for work details or programs outside
the institution’s secure perimeter.
15
Ibid., p. 2.
16
Ibid.
17
Traditionally, each BOP facility is divided into multiple housing units to which inmates are assigned. About the
Federal Bureau of Prisons, p. 4.
18
Ibid.
19
Ibid.
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•
conducting a social screening;
•
administering a physical examination;
•
screening for tuberculosis and other contagious diseases;
•
assessing suicide risk and mental health;
•
recording a history of current and prior medical conditions;
•
performing a dental screening;
•
dispensing appropriate and necessary medications;
•
ordering appropriate tests;
•
collecting DNA for inclusion in the National DNA database; and
•
developing a medical treatment plan, if needed.20
After intake, newly admitted inmates complete an Admission and Orientation (A&O) program.21
Each institution’s A&O program provides inmates with information on
•
the inmate’s rights and responsibilities;
•
the institution’s programs; and
•
the institution’s disciplinary system.22
The program also provides institutional staff with an opportunity to identify and assist inmates
who may be experiencing difficulty with adjusting to being incarcerated.23
Each inmate is assigned a “Care Level” based on the level of health care the inmate requires. Care
Levels range from Care Level I, which is assigned to inmates with no health care needs or needs
that are easily managed, to Care Level IV, which is assigned to inmates with complicated medical
needs that may require hospitalization. BOP then ensures that inmates are assigned to a facility
that is able to care for an inmate’s specific health care needs or is in close proximity to a
community hospital that may provide the appropriate health care.
All BOP facilities operate outpatient ambulatory care clinics.24 In instances where inmates have
an emergency medical situation that cannot be treated at the facility, they are transported to the
nearest community hospital emergency department.25 The BOP contracts with local hospitals to
provide care to inmates who cannot be cared for in the facility’s clinic. Each BOP facility solicits
20
U.S. Department of Justice, Bureau of Prisons, FY2013 Performance Budget, Congressional Submission, Salaries
and Expenses, p. 19, http://www.justice.gov/jmd/2013justification/pdf/fy13-bop-se-justification.pdf; hereinafter, BOP’s
FY2013 S&E Budget Justification.
21
Pretrial and holdover (e.g., inmates who are temporarily held in the institution while awaiting transfer to another
institution) inmates are not required to complete the Admission and Orientation program. U.S. Department of Justice,
Bureau of Prisons, Admission and Orientation Program, Program Statement 5290.14, pp. 1, http://www.bop.gov/
policy/progstat/5290_014.pdf.
22
Ibid.
23
Ibid.
24
BOP’s FY2013 S&E Budget Justification, p. 18.
25
Ibid., p. 19.
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medical contracts that cover health care facility and physician services. Institutions may solicit
comprehensive contracts in which costs are based on the prevailing Operating Federal Medicare
rate for the applicable area for inpatient facility services, and the prevailing Medicare STET for
the area for outpatient and physician services.26 In cases where comprehensive medical contracts
are not available, institutions may use blanket purchase agreements for a negotiated rate, but the
rate may not be benchmarked to prevailing Medicare rates.27 The BOP operates six medical
referral centers that provide care to inmates with a variety of chronic and sub-acute medical and
psychiatric conditions.28
The BOP also provides a variety of mental health services through staff psychologists and
psychiatrists, including formal counseling and treatment on an individual or group basis.29 The
BOP’s policies dictate that all inmates receive an initial mental health screening (which consists
of psychological interviews, social history reviews, and behavioral observation) upon admission
to a BOP facility.30 The purpose of the interview is to
•
identify inmates who need referral for mental health, sex offender, or substance
abuse treatment services;
•
collect information that can be used in future crisis counseling situations;
•
identify strengths as well as potential adjustment problems to incarceration; and
•
discuss possible programmatic needs with inmates.31
Inmates with acute mental illness may receive psychiatric services within one of the BOP’s
medical referral centers, but most mental health treatment is provided in regular BOP facilities.32
Providing for the Protection, Instruction, and Discipline of Inmates
The BOP has an established inmate disciplinary system whereby sanctions are imposed on
inmates for committing prohibited acts. Prohibited acts are divided into four categories based on
severity: greatest, high, moderate, and low.33 Penalties for committing a prohibited act include
losing good time credit,34 placement in disciplinary segregation, fines, or the loss of privileges.35
The severity of the penalty is based on the severity of the offense the inmate committed.36
26
Ibid., p. 20.
Ibid.
28
Ibid.
29
U.S. Department of Justice, Bureau of Prisons, Mental Health Treatment and Counseling, http://www.bop.gov/
inmate_programs/mental.jsp.
30
BOP’s FY2013 S&E Budget Justification, p. 27.
31
Ibid.
32
Ibid.
33
U.S. Department of Justice, Bureau of Prisons, Inmate Discipline Program, Program Statement 5270.09, p. 9,
http://www.bop.gov/policy/progstat/5270_009.pdf.
34
Each prisoner serving a term of imprisonment of more than one year, but not prisoners serving a life sentence, can
receive a good time credit of up to 54 days per year to count toward serving the sentence. The amount of the credit is
subject to the determination of BOP. 18 U.S.C. §3624(b).
35
Ibid., pp. 44-54.
36
Inmates sentenced for a federal offense after September 13, 1994, but before April 26, 1996, and who committed a
crime of violence (as defined by the Violent Crime Control and Law Enforcement Act of 1994, P.L. 103-322), inmates
(continued...)
27
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Incidents are resolved by either a Unit Disciplinary Committee (UDC) or a Disciplinary Hearing
Officer (DHO). Allegations of misconduct are initially reviewed by a UDC. If the UDC
determines that the inmate committed the prohibited act(s), the committee can impose any
authorized sanction other than the loss of good time credit, disciplinary segregation, or fines.
Inmates are allowed to appear before the UDC (unless it would jeopardize institutional security),
where they can make a statement and present documentary evidence on their behalves.
The DHO is an independent officer who holds hearings and imposes sanctions for incidents of
misconduct. The DHO can only hold hearings on cases referred by the UDC. All inmates charged
with the two highest levels of prohibited acts (i.e., “greatest” or “high”) or who are facing the loss
of good time credit as a mandatory sanction have their cases forwarded to a DHO. In addition, the
UDC, at its discretion, can forward a case to the DHO based on the seriousness of the charges.
Accused inmates are allowed to appear at a DHO hearing (unless it would jeopardize institutional
security) and they are permitted to have a staff representative to assist them at the hearing. Like a
hearing before the UDC, inmates are allowed to make a statement and present documentary
evidence on their behalves; however, the DHO can call and question witnesses, and inmates can
request that witnesses appear at the hearing to testify on their behalves. If the DHO determines
that the inmate committed the prohibited act(s), the DHO can impose any authorized sanction.
Misconduct that rises to the level of criminal behavior is referred to the United States Attorneys
for prosecution.
At times, inmates might be placed in the institution’s Special Housing Unit (SHU) in order to
ensure the safe, secure, and orderly operation of the facility.37 Inmates placed in the SHU are
separated from the general population. Inmates in the SHU are either on administrative detention
status, which is non-punitive and includes inmates placed in segregation to protect them from
other inmates, or disciplinary segregation status, which is punitive and is a sanction for violating
regulations concerning inmate behavior. An inmate’s status is reviewed regularly by BOP while
he or she is housed in the SHU.
In some instances, inmates who demonstrate that they are unable or unwilling to comply with
institutional rules and who engage in repeated acts of serious misconduct are transferred to
Special Management Units (SMUs). Currently, five BOP facilities have SMUs.38 Transfer to a
SMU is non-punitive and is meant to help inmates habituate so that they can be returned to the
general population without posing a threat to the safe, secure, and orderly operations of BOP
correctional facilities and the public.39 Candidates for transfer to a SMU are inmates who
•
participated or had a leadership role in a disruptive group or gang;
•
have a history of serious and/or disruptive disciplinary infractions;
(...continued)
who were sentenced for a federal offense after April 26, 1996, and inmates who were sentenced for a District of
Columbia Code offense after August 5, 2000, all lose some amount of good time credit as a mandatory sanction for
committing a prohibited act. Ibid., p. 11.
37
U.S. Department of Justice, Bureau of Prisons, Special Housing Units, Program Statement 5270.10,
http://www.bop.gov/policy/progstat/5270_010.pdf.
38
Facilities with SMUs are USP Allenwood, USP Lewisburg, FCI Talladega, FCC Florence, and FCC Oakdale.
39
U.S. Department of Justice, Bureau of Prisons, Special Management Units, Program Statement 5217.01, pp. 1-2,
http://www.bop.gov/policy/progstat/5217_001.pdf.
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•
committed a serious institutional violation while a member of a disruptive group
or gang;
•
participated in, organized, or facilitated any group misconduct that adversely
affected the operations of a correctional facility; or
•
otherwise participated in or was associated with activity such that the inmate
requires a higher level of supervision to ensure the safety, security, and orderly
operation of BOP facilities, or protection of the public.40
Inmates are expected to complete the four-level SMU program in 18-24 months, though inmates
who continue to demonstrate disruptive conduct can be held in a SMU beyond 24 months.41
When inmates complete the program they are returned to the general population at another
facility that is appropriate for their security and supervision level. Inmates housed in SMUs are
separated from the general inmate population in the facility, and their movements and interaction
with other inmates are more controlled and restricted than they would be if they were housed in
the general population, but they are granted more freedom of movement as they progress through
the levels of the program.42 Inmates also have access to rehabilitative programming while in a
SMU, albeit with some restrictions.43
In addition to SMUs, the BOP also operates Communications Management Units (CMUs) at two
facilities.44 Inmates housed in CMUs are subject to increased monitoring of their communications
with persons in the community.45 Like SMUs, inmates housed in CMUs are separated from the
general inmate population, but inmates’ movements are not as restricted and controlled as they
would be in a SMU.46 Examples of inmates who might be housed in a CMU include inmates who
•
have a history of or a nexus to international or domestic terrorism;
•
repeatedly attempt to contact their victims;
•
attempt to coordinate illegal activities via approved communication methods
(e.g., mail, telephone calls, or meetings with visitors) while incarcerated; or
•
have received disciplinary actions due to their continued abuse of approved
communication methods.47
An inmate is allowed to request a review of his or her conditions of confinement through the
BOP’s Administrative Remedy Program. Before an inmate can submit a formal request for an
administrative remedy, the inmate is ordinarily required to present the issue informally to staff,
and staff must attempt to remedy the issue.48 Formal requests for administrative remedies are first
40
Ibid., p. 2.
Ibid.
42
Ibid., p. 5.
43
Ibid., pp. 7-10.
44
Facilities with CMUs are FCC Terre Haute and USP Marion.
45
U.S. Department of Justice, Bureau of Prisons, State of the Bureau 2009, p. 37, http://www.bop.gov/news/PDFs/
sob09.pdf.
46
Ibid.
47
Ibid.
48
U.S. Department of Justice, Bureau of Prisons, Administrative Remedy Program, Program Statement 1330.13, p. 4,
http://www.bop.gov/policy/progstat/1330_013.pdf.
41
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reviewed and investigated at the institutional level. Wardens can also waive the requirement for
inmates to first attempt to resolve the issue informally if the warden determines that the
sensitivity of the issue makes informal resolution inappropriate.49 If an inmate is not satisfied with
the warden’s response, he or she can appeal the claim to the regional office; and if the inmate is
not satisfied with the regional office’s response, he or she can appeal to the central office.50
Inmates can appeal rejections of claims through the same process. Inmates may file appeals of
disciplinary actions (e.g., confinement in a SHU) directly with the regional office. Inmates can
submit a formal request for an administrative remedy directly to the regional office if the inmate
reasonably believes the issue is sensitive and his or her safety would be in jeopardy if someone in
the institution was aware that the inmate was pursuing a claim.51
Preparing Inmates for Reentry
The BOP offers a variety of rehabilitative programs to federal inmates, including
•
mental health, sex offender, and substance abuse treatment;
•
educational programming;
•
vocational education;
•
work opportunities through prison work assignments and the Federal Prison
Industries (FPI);52
•
parenting programs;
•
cognitive-behavioral interventions that focus on promoting pro-social behavior;
and
•
religious programs.53
The BOP has developed a coordinated prisoner reentry strategy. The strategy involves assessing
each inmate’s strengths and weaknesses as they relate to the inmate’s readiness for release, using
the assessment to develop a skill development plan, and linking inmates with certain deficiencies
to programs to address those needs.54 The BOP also collaborates with other agencies to ensure
that inmates with certain needs are provided targeted services.55
In addition to the rehabilitative programming offered to federal inmates, the BOP has a release
preparation program for inmates who are within 18 months of release. The program includes
classes on résumé writing and job search and retention skills.56 The BOP’s Inmate Transition
49
Ibid.
Ibid., p. 7.
51
Ibid.
52
The FPI is a government-owned corporation that employs federal inmates. For more information on the FPI, see CRS
Report RL32380, Federal Prison Industries: Overview and Legislative History, by Nathan James
53
U.S. Department of Justice, Bureau of Prisons, State of the Bureau 2008, pp. 2-3, http://www.bop.gov/news/PDFs/
sob08.pdf.
54
BOP’s FY2013 S&E Budget Submission, p. 34.
55
Ibid.
56
U.S. Department of Justice, Bureau of Prisons, Release Preparation, http://www.bop.gov/inmate_programs/
release_emp.jsp.
50
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Branch (ITB) provides inmates with pre-release employment assistance. The ITB holds mock job
fairs in BOP facilities to provide inmates with an opportunity to test their job interview skills and
to put inmates in touch with potential post-release employers.57 The ITB also helps inmates
prepare release folders that contain a résumé, education certificates, diplomas, transcripts, and
other documentation that might be required during a job interview.58
The BOP contracts for Residential Reentry Centers (RRCs, i.e., halfway houses) to provide
assistance to inmates nearing release.59 RRCs provide inmates with a structured and supervised
environment along with employment counseling, job placement services, financial management
assistance, and other community-based social services and programs.60 RRCs facilitate inmates’
efforts at reestablishing ties to the community while allowing staff at the RRC to supervise
inmates’ activities.61 Pre-release inmates placed in a RRC remain under the jurisdiction of BOP
until their sentences are completed. Inmates are expected to be employed in a full-time job within
15 days of arriving at a RRC and 25% of their gross income (not to exceed the negotiated per
diem rate under the contract the BOP signed with the RRC) goes to a subsistence fee paid directly
to the RRC contractor to contribute toward the cost of their confinement.62 RRC staff can assist
inmates with obtaining employment or locating post-release housing.63 While housed in RRCs,
inmates are eligible to receive mental health, sex offender, and substance abuse treatment
services. Inmates who completed a residential substance abuse treatment program while
incarcerated are required to participate in a transitional drug abuse treatment program while
placed at a RRC.64
BOP Appropriations
Nearly all of the BOP’s operations are funded through annual appropriations provided by
Congress.65 The BOP’s annual budget is divided between two major accounts: Salaries and
Expenses (S&E) and Buildings and Facilities (B&F). The S&E account (i.e., the operating
budget) provides for the custody and care of federal inmates and for the daily maintenance and
operations of correctional facilities, regional offices, and the BOP’s central office in Washington,
DC. It also provides funding for the incarceration of federal inmates in state, local, and private
facilities. The B&F account (i.e., the capital budget) provides funding for the construction of new
facilities and the modernization, repair, and expansion of existing facilities.66 Appropriations for
both accounts are presented in Table 1.
57
Ibid.
Ibid.
59
U.S. Department of Justice, Bureau of Prisons, Community Corrections, http://www.bop.gov/locations/cc/index.jsp.
60
Ibid.
61
Ibid.
62
Ibid.
63
Ibid.
64
Ibid.
65
The operations of the Federal Prison Industries (FPI) are supported by revenue generated through the sale of
prisoner-made goods to federal agencies. In addition, some programs, goods, and services (such as compensation for
inmates participating in non-FPI jobs) are paid for by funds generated through the sale of goods to inmates through the
prison commissary.
66
In addition to appropriations for the S&E and B&F accounts, Congress usually places a cap on the amount of
revenue generated by the FPI that can be used for administrative expenses in the annual Commerce, Justice, Science,
(continued...)
58
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Table 1. Appropriations for the Bureau of Prisons, FY1980-FY2013
Appropriations in thousands of dollars
Fiscal
Year
Salaries and
Expenses
Buildings and
Facilities
1980
$323,884
$5,960
$329,844
1981
351,759
10,020
361,779
1982
378,016
56,481
434,497
1983
412,133
66,667
478,800
1984
464,850
47,711
512,561
1985
536,932
86,043
622,975
1986
561,480
44,082
605,562
1987
656,941
219,249
876,190
1988
772,013
297,076
1,069,089
1989
962,016
612,914
1,574,930
1990
1,138,778
1,511,953
2,650,731
1991
1,363,645
374,358
1,738,003
1992
1,649,121
462,090
2,111,211
1993
1,793,470
339,225
2,132,695
1994
1,962,605
269,543
2,232,148
1995
2,319,722
276,301
2,596,023
1996
2,546,893a
334,728
2,881,621
1997
2,748,427b
435,200
3,183,627
1998
2,847,777c
255,133
3,102,910
1999
2,888,853d
410,997
3,299,850
2000
3,111,073e
556,780
3,667,853
2001
3,469,739
833,822
4,303,561
2002
3,805,118
807,808
4,612,926
2003
4,044,788
396,632
4,441,420
2004
4,414,313
393,515
4,807,828
2005
4,571,385
205,076
4,776,461
2006
4,830,160
99,961
4,930,121
2007
5,012,433
432,425
5,444,858
2008
5,346,740
372,720
5,719,460
2009
5,600,792
575,807
6,176,599
2010
6,106,231
99,155
6,205,386
Total
(...continued)
and Related Agencies appropriations act. Although Congress does not appropriate funding for the administrative
expenses of FPI, the administrative expenses cap is scored as enacted budget authority.
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Fiscal
Year
Salaries and
Expenses
Buildings and
Facilities
2011
6,282,410
98,957
6,381,367
2012
6,551,281
90,000
6,641,281
2013f
6,349,248
95,356
6,444,604
Total
Source: U.S. Department of Justice, Bureau of Prisons.
Notes: Amounts in Table 1 include all supplemental appropriations and any rescissions of enacted budget
authority, but they do not include rescissions of unobligated balances. From FY1980 to FY1995, funding for the
National Institute of Corrections (NIC) was included in a separate account. Since FY1996, funding for the NIC
has been included in the S&E account. In Table 1, funding for the NIC for FY1980-FY1995 was added to the S&E
account to make funding for the S&E account comparable across fiscal years.
a.
Includes $13.5 million appropriated from the Violent Crime Reduction Trust Fund (VCRTF).
b.
Includes $25.2 million appropriated from the VCRTF.
c.
Includes $26.1 million appropriated from the VCRTF.
d.
Includes $26.5 million appropriated from the VCRTF.
e.
Includes $22.5 million appropriated from the VCRTF.
f.
The FY2013-enacted amount includes the amount sequestered per the Budget Control Act of 2011(P.L.
112-25).
Figure 2. Appropriations for the BOP, FY1980-FY2013
Appropriations in billions of nominal dollars
7
6
5
4
3
2
1
2010
2005
2000
1995
1990
1985
1980
0
Fiscal Year
Salaries and Expenses
Buildings and Facilities
Total
Source: U.S. Department of Justice, Bureau of Prisons.
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Notes: Amounts in Figure 2 include all supplemental appropriations and any rescissions of enacted budget
authority, but they do not include rescissions of unobligated balances. From FY1980 to FY1995, funding for the
National Institute of Corrections (NIC) was included in a separate account. Since FY1996, funding for the NIC
has been included in the S&E account. In Figure 2, funding for the NIC for FY1980-FY1995 was added to the
S&E account to make funding for the S&E account comparable across fiscal years. The FY2013-enacted amount
includes the amount sequestered per the Budget Control Act of 2011(P.L. 112-25).
A review of the appropriations presented in Table 1 shows two trends in the BOP’s
appropriations. First, while there has been a nearly continuous increase in the overall
appropriations for the BOP, it is in large part driven by an unbroken year-by-year increase in
appropriations for the BOP’s S&E account since FY1980 (see Figure 2). The one exception to
this trend is the appropriation for FY2013, which is lower than the FY2012 appropriation for the
S&E account due to the sequestration ordered pursuant to the Budget Control Act of 2011 (P.L.
112-25). It is not surprising that Congress would appropriate increasing amounts for the S&E
account in light of the steadily growing federal prison population. Appropriations for the S&E
account pay the salaries and benefits of both correctional officers and other institutional
employees. The BOP has had to hire more officers and other employees as it opens more prisons
and supervises more inmates. In addition, not only has the cost of operating the federal prison
system increased because the BOP is responsible for confining more inmates, but the per capita
cost of incarceration has also increased over the years. In FY2000, the nominal per capita cost for
all inmates was $21,603; by FY2012, the nominal per capita cost of incarceration had increased
to $29,027.67 The increasing per capita cost of confinement is largely due to inflationary
pressures, such as the increasing cost of health care, food, clothing, and utilities and the cost of
hiring additional personnel to properly manage the inmate population.
Second, funding for the B&F account is more irregular, with Congress appropriating more in
some fiscal years and less in others. Congress appropriated more funding in fiscal years where the
BOP expanded its prison capacity in an effort to relieve overcrowding. Also, there is a lag
between when Congress appropriates funding for construction of a new prison and when the
prison is operational because the BOP must first plan the prison’s construction, acquire the land,
and then contract for the construction of the facility. It can take several years after construction
begins before a prison is ready to accept inmates. For example, there was a noticeable spike in
appropriations for the B&F account in FY1990, followed by three fiscal years of above-average
funding for the account.68 Between FY1990 and FY1997, the BOP opened 27 new prisons. There
was another increase in funding for the B&F account between FY1999 and FY2004.
Appropriations for the B&F account during this time period averaged approximately $567.0
million per fiscal year. Between FY1999 and FY2005, the BOP opened 22 new prisons.
Each of the BOP’s two appropriations accounts are divided into specific decision units, each of
which fund more specific BOP operations. An examination of funding for the decision units under
the S&E and B&F accounts provides more insight into how the BOP allocates its annual
appropriation in light of the challenges it faces as it becomes responsible for confining more
inmates. The S&E account is divided into four decision units, which are as follows:
67
Data provided by the U.S. Department of Justice, Bureau of Prisons.
Between FY1980 and FY2012, the average appropriation for the B&F account was approximately $299.0 million per
fiscal year. This average excludes FY1990 funding for the B&F account because it was an outlier and including it
would skew the average upwards (if FY1990 funding for the B&F account is included, the average appropriation for
the account was approximately $336.0 million per fiscal year).
68
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•
Inmate Care and Programs: This decision unit covers the cost of inmate food,
medical supplies, institutional and release clothing, welfare services,
transportation, gratuities, staff salaries, and operational costs of functions directly
related to providing inmate care. It provides funding for inmate programs,
including education and vocational training, psychological services, religious
programs, and drug treatment. All of the drug treatment programs discussed
above are funded from this decision unit. This decision unit also covers costs
associated with regional and central office administration and support related to
providing inmate care.
•
Institution Security and Administration: This decision unit covers costs
associated with the maintenance of facilities and institution security. It funds
institution maintenance, motor pool operations, powerhouse operations,
institution security, and other administrative functions. This decision unit also
covers costs associated with regional and central office administrative and
management support functions such as research and evaluation, systems support,
financial management, budget functions, safety, and legal counsel.
•
Contract Confinement: This decision unit provides for the costs associated with
the confinement of federal inmates in contract facilities, which include private
prisons, Residential Reentry Centers, state and local facilities, and home
confinement. It provides funding for the management and oversight of contract
confinement functions. This decision unit also provides funding for the National
Institute of Corrections (NIC).
•
Management and Administration: This decision unit provides funding for costs
associated with general administration and provides funding for the central
office, regional offices, and staff training centers.
The B&F account is divided into two decision units:
•
New Construction: This decision unit covers lease payments for the Oklahoma
Transfer Center, the salaries and administrative costs of staff involved in new
prison construction, construction of inmate work program areas, and expansion
and conversion projects (i.e., additional special housing unit space).
•
Modernization and Repair: This decision unit provides resources to undertake
essential rehabilitation, modernization, and renovation of correctional facilities
and their grounds. This includes modifications to facilities to accommodate
correctional programs, repair or replace utilities systems and other critical
infrastructure, repair projects at existing institutions, and maintain all systems
and structures in a good state of repair.
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Table 2. Appropriations for the BOP, by Decision Unit, FY1999-FY2013
Appropriations in thousands of dollars
Buildings and Facilities
Salaries and Expenses
Fiscal
Year
Inmate Care
and
Programs
Institution
Security and
Administration
Contract
Confinement
Management
and
Administration
1999
$1,090,148
$1,401,349
$255,062
$142,249
$322,963
$88,034
2000
1,123,856
1,494,809
344,773
147,635
441,003
115,777
2001
1,208,480
1,601,518
511,579
148,162
710,816
123,006
2002
1,311,335
1,722,567
620,145
151,071
675,040
132,768
2003
1,454,481
1,868,538
567,365
154,404
262,956
133,676
2004
1,624,308
2,050,417
574,473
165,115
177,620
164,000
2005
1,682,656
2,094,917
627,135
166,677
25,372
179,704
2006
1,740,011
2,227,223
683,031
179,895
48,115
51,846
2007
1,774,048
2,297,055
757,851
183,479
368,875
63,550
2008
1,942,077
2,409,112
814,529
181,022
302,720
70,000
2009
2,070,002
2,495,196
840,933
194,661
465,180
110,627
2010
2,215,992
2,708,651
981,112
200,476
25,386
73,769
2011
2,294,174
2,783,664
996,772
207,800
25,335
73,622
2012
2,421,272
2,880,290
1,040,213
209,506
23,035
66,695
2013a
2,424,620
2,717,938
1,017,297
189,393
23,649
71,707
New
Construction
Modernization
and Repair
Source: U.S. Department of Justice, Bureau of Prisons.
Notes: Amounts in Table 2 include all supplemental appropriations and any rescissions of enacted budget
authority, but they do not include rescissions of unobligated balances.
a.
The FY2013-enacted amount includes the amount sequestered per the Budget Control Act of 2011 (P.L.
112-25).
As shown in Table 2, since FY1999 approximately 80% of the BOP’s S&E funding has gone to
combined appropriations for the Inmate Care and Programs and the Institution Security and
Administration decision units. Funding for the Inmate Care and Programs and the Institution
Security and Administration decision units have increased at about the same rate as funding for
the S&E account overall. Between FY1999 and FY2013, funding for the Inmate Care and
Programs decision unit increased 122.4% and funding for the Institution Security and
Administration decision unit increased 94.0%. In comparison, funding for the S&E account
increased 119.8% over the same time period. Funding for the Contract Confinement decision unit
increased 398.8% between FY1999 and FY2013. The steeper increase in funding for the Contract
Confinement decision unit comes as the BOP has relied on confining more inmates in contract
facilities. For example, in FY1990 about 7,000 inmates under the BOP’s jurisdiction were held in
contract facilities; by FY2012, nearly 41,000 inmates were placed in contract facilities. Funding
from the Contract Confinement decision unit covers the cost of contracts that the BOP signs with
RRCs, and since the growing prison population also means that there will be more inmates
released from federal prison each year, there has been a growing demand for RRC bedspace.
While funding for the Contract Confinement decision unit outpaced the growth of funding for the
S&E account overall, funding for the Management and Administration decision unit grew at a
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rate below that of the S&E account. Between FY1999 and FY2013, funding for the Management
and Administration decision unit increased 33.1%.
The data presented in Table 2 also show that in most fiscal years since FY1999 a majority of the
funding for the B&F account has been dedicated for new prison construction, which is probably
not surprising given the BOP’s need to expand prison capacity to handle an ever growing prison
population. The BOP has, and continues to, face problems with prison overcrowding. Between
FY1999 and FY2012, the BOP increased its capacity by more than 39,000 beds.69 In addition, the
BOP is in the process of activating or building three new facilities by FY2013, which would add
approximately 4,300 new beds to the BOP’s prison capacity. There are no additional ongoing
construction projects to add beds beyond FY2016. Even though the BOP has expanded prison
capacity, crowding in the federal prison system increased from 31% over rated capacity to 38%
over rated capacity between FY1999 and FY2012,70 and even with the planned addition of nearly
8,300 beds by FY2016, the BOP expects prison crowding to decrease one percentage point to
37% over rated capacity.71
As shown in Table 2, in most fiscal years between FY1999 and FY2013, a majority of the
appropriation for the B&F account was for new prison construction rather than maintenance of
existing facilities. Over this time period, the average appropriation for the New Construction
decision unit was $263.3 million while the average appropriation for the Modernization and
Repair decision unit was $101.3 million. Even in the four most recent fiscal years when funding
for the Modernization and Repair decision unit exceeded the New Construction decision unit, the
total appropriation for the B&F account was less than $100.0 million, which is approximately
75% less than the average appropriation for the B&F account between FY1999 and FY2009. The
lack of funding for maintenance projects could place as much strain on the BOP’s future budget
as prison overcrowding. The BOP reports that about 30% of its current facilities are over 50 years
old.72 Moreover, failure to perform adequate maintenance on existing facilities could result in
larger capital investment in future years as prisons and utility systems deteriorate and, according
to the BOP, could cause direct and/or indirect security problems.73 It is possible that the demand
for maintenance funding would increase in the future as greater demands are placed on an aging
infrastructure by prison overcrowding, unless Congress provides funding for a large-scale
expansion of new prisons, which could potentially allow the BOP to close some older facilities.
Congress could choose to mitigate some of the issues related to federal prison population growth
by appropriating more funding so the BOP could expand prison capacity to alleviate
overcrowding, but this would only continue the upward climb in the BOP’s appropriations. There
is a concern that the rate of growth in the BOP’s appropriations is not sustainable in light of
efforts to reduce discretionary spending in order to reduce the federal budget deficit.74
69
Data provided by the U.S. Department of Justice, Bureau of Prisons.
Data provided by the U.S. Department of Justice, Bureau of Prisons.
71
U.S. Department of Justice, Bureau of Prisons, FY2014 Performance Budget, Congressional Submission, Buildings
and Facilities, p. 3, http://www.justice.gov/jmd/2014justification/pdf/bop-se-justification.pdf.
72
Ibid., p. 44.
73
Ibid.
74
In the conference report for the Consolidated and Further Continuing Appropriations Act, 2012 (i.e., the “minibus,”
P.L. 112-55), the conferees expressed concern that “the current upward trend in the prison inmate population is
unsustainable and, if left unchecked, will eventually engulf the [Department of Justice’s] budgetary resources.” U.S.
Congress, House of Representatives, Agriculture, Rural Development, Food and Drug Administration, and the Related
(continued...)
70
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Congress could also consider ways to reduce the number of inmates held in federal prison
through methods such as increasing good time credit for inmates who participate in certain
rehabilitative programs, placing more low-level offenders on community supervision in lieu of
incarceration, or reducing mandatory minimum penalties for some offenses. Reducing the federal
prison population could help bring down the cost of the federal prison system since the BOP
would be housing and caring for fewer inmates. A smaller prison population would help alleviate
prison crowding, and it could improve staff-to-inmate ratios. Shrinking the size of the federal
prison population could possibly help the BOP deal with its aging infrastructure, assuming that
the prison population decreased enough to allow the BOP to close some of its older facilities. If
nothing else, fewer inmates would allow the BOP to shift funding from building prisons to
properly maintaining the bureau’s current facilities.
Author Contact Information
Nathan James
Analyst in Crime Policy
njames@crs.loc.gov, 7-0264
(...continued)
Agencies Programs for the Fiscal Year Ending September 30, 2012, and for Other Purposes, Conference Report to
Accompany H.R. 2112, 112th Cong., 1st sess., November 14, 2011, H.Rept. 112-284 (Washington, DC: GPO, 2011), p.
241.
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