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pdfTable of Contents: Supplementary Materials
Appendix A: P.L. 106-297, Death in Custody Reporting Act of 2000
Page 3
Appendix B: 2018 MCI data collection forms
Page 5
Appendix C: The Omnibus Crime Control and Safe Street Act of 1968
Page 23
Appendix D: P.L. 113-242, Death in Custody Reporting Act of 2013
Page 31
Appendix E: Report of the Attorney General to Congress Pursuant to the Death in Custody Reporting
Act, December 16, 2016
Page 36
Appendix F: BJS Data Protection Guidelines
Page 49
Appendix G: Bibliography of MCI use in academic publications
Page 60
Appendix H: Screenshots of 2017 MCI web data collection tool
Page 63
Appendix I: MCI frequently asked questions fact sheet
Page 78
Appendix J: 60-day FRN comment from CURE
Page 81
Appendix K: 2018 MCI facility verification call script
Page 84
Appendix L: 2018 MCI email request for data submission
Page 90
Appendix M: 2018 MCI postal request for data submission
Page 93
Appendix N: 2018 MCI data submission first reminder email
Page 100
Appendix O: 2018 MCI data submission second reminder letter
Page 104
Appendix P: 2018 MCI data quality follow-up call script and email
Page 106
Appendix A
P.L. 106-297, Death in Custody Reporting Act of 2000
Appendix B
2018 MCI data collection forms
OMB No. 1121-0249 Approval Expires 01/31/2022
MORTALITY IN CORRECTIONAL INSTITUTIONS
2018 ANNUAL SUMMARY OF INMATE DEATHS
IN STATE PRISONS
Form NPS-4
U.S. DEPARTMENT OF JUSTICE
BUREAU OF JUSTICE STATISTICS
AND ACTING AS COLLECTION AGENT:
RTI INTERNATIONAL
FORM COMPLETED BY:
Name
Title
Official
Address
Telephone
City
FAX
State
Zip
E-mail
What deaths should be reported?
INCLUDE deaths of ALL persons…
•
Confined in your correctional facilities, whether housed
under your jurisdiction or that of another state
•
Under your jurisdiction but housed in private correctional
facilities, whether located in or out of state
•
Under your jurisdiction but in special facilities (e.g.,
medical/ treatment/release centers, halfway houses,
police/court lockups, or work farms)
•
EXCLUDE deaths of ALL persons…
•
Executed in your state
•
Confined in local jail facilities, whether located in or out of
state
•
Under your jurisdiction but housed in a state-operated
correctional facility in another state or in a federal facility
•
Under probation or parole supervision in your state
In transit to or from your facilities while under your
supervision
During 2018, how many persons died while in the custody of your state correctional facilities?
Number of deaths in 2018
You may submit this form in one of these ways:
ONLINE: Complete this form online at: https://bjsmci.rti.org
E-MAIL: bjsmci@rti.org
FAX (TOLL-FREE): (866) 800-9179
MAIL:
RTI International, Attn: Data Capture
Project #: 0215015.001.300.117.102.100
5265 Capital Boulevard
Raleigh, NC 27690-1652
For each inmate death, please ensure that you have submitted a STATE PRISON INMATE DEATH REPORT (NPS-4A) form.
EVEN IF NO DEATHS OCCURRED, please enter zero and submit this form.
If you need assistance, contact the data collection team at RTI International toll-free at (800) 344-1387 or bjsmci@rti.org.
BURDEN STATEMENT
Under the Paperwork Reduction Act, we cannot ask you to respond to a collection of information unless it displays a currently valid OMB control number. The
burden of this collection is estimated to average 5 minutes per response, including reviewing instructions, searching existing data sources, gathering necessary
data, and completing and reviewing this form. Send comments regarding this burden estimate or any aspect of this survey, including suggestions for reducing this
burden, to the Director, Bureau of Justice Statistics, 810 Seventh Street, NW, Washington, DC 20531. Do not send your completed form to this address.
«AGENCY ID»
OMB No. 1121-0249 Approval Expires 03/31/2019
MORTALITY IN CORRECTIONAL INSTITUTIONS 2018
STATE PRISON INMATE
DEATH REPORT
Form NPS-4A
(Addendum)
U.S. DEPARTMENT OF JUSTICE
BUREAU OF JUSTICE STATISTICS
AND ACTING AS COLLECTION AGENT:
RTI INTERNATIONAL
FORM COMPLETED BY:
Name
Title
Official
Address
Telephone
City
FAX
State
Zip
E-mail
Instructions for Completion
If no deaths occurred in 2018:
•
You do not need to complete this form.
If you had more than one death in 2018:
•
Make copies of this form for each additional death.
•
Complete the entire form for each inmate death.
•
Once your death records are complete, there are several ways to submit a death report:
ONLINE: Complete the report online at: https://bjsmci.rti.org
MAIL: RTI International, Attn: Data Capture
Project #: 0215015.001.300.117.102.100
5265 Capital Boulevard
Raleigh, NC 27690-1652
E-MAIL: bjsmci@rti.org
FAX (TOLL-FREE): (866) 800-9179
If you need assistance, contact the data collection team at RTI International toll-free at (800) 344-1387 or bjsmci@rti.org
What deaths should be reported?
INCLUDE deaths of ALL persons…
•
•
•
•
Confined in your correctional facilities, whether housed
under your jurisdiction or that of another state
Under your jurisdiction but housed in private correctional
facilities, whether located in or out of state
Under your jurisdiction but in special facilities (e.g.,
medical/treatment/release centers, halfway houses,
police/court lockups, or work farms)
In transit to or from your facilities while under your
supervision
EXCLUDE deaths of ALL persons…
•
Executed in your state
•
Confined in local jail facilities, whether located in or out of
state
•
Under your jurisdiction but housed in a state-operated
correctional facility in another state or in a federal facility
•
Under probation or parole supervision in your state
•
Under your jurisdiction but on AWOL or escape-status at
the time of death
BURDEN STATEMENT
Under the Paperwork Reduction Act, we cannot ask you to respond to a collection of information unless it displays a currently valid OMB control number. The
burden of this collection is estimated to average 30 minutes per each reported death, including reviewing instructions, searching existing data sources, gathering
necessary data, and completing and reviewing this form. Send comments regarding this burden estimate or any aspect of this survey, including suggestions for
reducing this burden, to the Director, Bureau of Justice Statistics, 810 Seventh Street, NW, Washington, DC 20531. Do not send your completed form to this
address.
«AGENCY ID»
STATE PRISON INMATE DEATH REPORT
1.
What was the inmate’s name?
LAST
8.
FIRST
On what date was the inmate admitted to one of
your correctional facilities?
MI
MONTH
2.
DAY
YEAR
On what date did the inmate die?
2
MONTH
DAY
0
1
9.
8
For what offense(s) was the inmate being held?
a.
YEAR
b.
3.
What was the name and location of the
correctional facility involved?
c.
d.
Facility Name:
e.
Facility City:
Facility State:
10. Since admission, did the inmate ever stay
overnight in a mental health facility?
4.
What was the inmate’s date of birth?
MONTH
DAY
Yes
No
Don’t Know
YEAR
11. Where did the inmate die?
5.
What was the inmate’s sex?
Male
Female
6.
Was the inmate of Hispanic, Latino, or Spanish
origin?
Yes
No
In a general housing unit in the facility or in a
general housing unit on prison grounds
In a segregation unit
In a special medical unit/infirmary within your
facility
In a special mental health services unit within
your facility
In a medical center outside your facility
In a mental health center outside your facility
While in transit
Elsewhere
Please Specify:
7.
In addition, what was the inmate’s race? Please
select one or more of the following racial
categories:
White
Black or African American
American Indian or Alaska Native
Asian
Native Hawaiian or Pacific Islander
Some other race
Please Specify:
«AGENCY ID»
12. Are the results of a medical examiner’s or coroner’s evaluation (such as an autopsy, postmortem exam, or
review of medical records) available to establish an official cause of death?
YES
CONTINUE TO Q13
Evaluation complete—results are pending
SKIP REMAINING QUESTIONS AND SUBMIT THIS FORM—YOU WILL BE CONTACTED AT A
LATER TIME FOR THE CAUSE OF DEATH
No evaluation is planned
13. What was the cause of death?
CONTINUE TO Q13
*** Please SPECIFY cause of death—it is critical information***
Illness—Exclude AIDS-related deaths [Specify]
Acquired Immune Deficiency Syndrome (AIDS)
Accidental alcohol/drug intoxication [Describe]
Accidental injury to self [Describe]
Accidental injury by other (e.g., vehicular accidents
during transport) [Describe]
Suicide (e.g., hanging, knife/cutting instrument,
intentional drug overdose) [Describe]
Homicide [Describe]
Other cause(s) [Specify]
0
14. Where did the incident (e.g., accident, suicide, or homicide) causing the death take place?
NOT APPLICABLE—Cause of death was illness, intoxication, or AIDS-related
In the prison facility or on the prison grounds
In the inmate’s cell/room
In a temporary holding area/lockup
In a common area within the facility (e.g., yard, library, cafeteria)
In a special medical unit/infirmary
[PLEASE
In a special mental health services unit
SPECIFY]
In a segregation unit
On death row, special unit awaiting capital punishment
Elsewhere within the prison facility
Please Specify:
Outside the prison facility (e.g., while on work release or on work detail)
Elsewhere
Please Specify:
15. When did the incident (e.g., accident, suicide, or homicide) causing the death occur?
NOT APPLICABLE—Cause of death was illness, intoxication, or AIDS-related
Morning (6 am to Noon)
Afternoon (Noon to 6 pm)
Evening (6 pm to Midnight)
Overnight (Midnight to 6 am)
«AGENCY ID»
16. Excluding emergency care provided at the time of death, did the inmate receive any of the following medical
services for the medical condition that caused his/her death after admission to your correctional facilities?
NOT APPLICABLE—Cause of death was accidental injury, intoxication, suicide, or homicide
a.
b.
c.
d.
e.
f.
YES
NO
DON’T KNOW
Evaluated by physician/medical staff .......................... ...............................
PLEASE PROVIDE A
Diagnostic tests (e.g., X-rays, MRI) ............................ ...............................
RESPONSE FOR
Medications ................................................................. ...............................
EACH ITEM (a–f)
Treatment/care other than medications ...................... ...............................
Surgery ........................................................................ ...............................
Confinement in special medical unit ........................... ...............................
17. Was the cause of death the result of a pre-existing medical condition or did the inmate develop the condition
after admission? (If multiple conditions caused the death and any of the conditions were pre-existing, mark
“Pre-existing medical condition.”)
NOT APPLICABLE—Cause of death was accidental injury, intoxication, suicide, or homicide
Pre-existing medical condition
Deceased developed condition after admission
Could not be determined
Please add any additional notes regarding this death here:
«AGENCY ID»
OMB No. 1121-0094 Approval Expires 01/31/2019
MORTALITY IN CORRECTIONAL INSTITUTIONS 2018
DEATH REPORT ON INMATES
UNDER JAIL JURISDICTION
Form CJ-9
U.S. DEPARTMENT OF JUSTICE
BUREAU OF JUSTICE STATISTICS
AND ACTING AS COLLECTION AGENT:
RTI INTERNATIONAL
FORM COMPLETED BY:
Name
Title
Official
Address
Telephone
City
FAX
State
Zip
E-mail
Instructions for Completion
If no deaths occurred in 2018:
•
You do not need to complete this form.
If you had more than one death in 2018:
•
Make copies of this form for each additional death.
•
Complete the entire form for each inmate death.
•
Once your death records are complete, there are several ways to submit a death report:
ONLINE: Complete the report online at: https://bjsmci.rti.org
E-MAIL: bjsmci@rti.org
FAX (TOLL-FREE): (866) 800-9179
MAIL: RTI International, Attn: Data Capture
Project #: 0215015.001.300.117.102.100
5265 Capital Boulevard
Raleigh, NC 27690-1652
If you need assistance, contact the data collection team at RTI International toll-free at (800) 344-1387 or bjsmci@rti.org.
What deaths should be reported?
INCLUDE deaths of ALL persons…
EXCLUDE deaths of ALL persons…
•
Confined in your jail facilities, whether housed under
your own or another jurisdiction
•
Confined in facilities operated by two or more
jurisdictions or those held in privately operated jails
•
Under your jurisdiction but housed in special jail
facilities (e.g., medical/treatment/release centers,
halfway houses, or work farms); or on transfer to
treatment facilities
•
Under your jurisdiction but in nonresidential communitybased programs run by your jails (e.g., electronic
monitoring, house arrest, community service, day
reporting, work programs)
•
Under your jurisdiction but out to court
•
•
Under your jurisdiction but AWOL, escaped, or on longterm transfer to another jurisdiction
In transit to or from your facilities while under your
jurisdiction
•
In the process of arrest by your agency, but not yet
booked into your jail facility
BURDEN STATEMENT
Under the Paperwork Reduction Act, we cannot ask you to respond to a collection of information unless it displays a currently valid OMB control number. The burden of
this collection is estimated to average 30 minutes per each reported death, including reviewing instructions, searching existing data sources, gathering necessary data,
and completing and reviewing this form. Send comments regarding this burden estimate or any aspect of this survey, including suggestions for reducing this burden, to
the Director, Bureau of Justice Statistics, 810 Seventh Street, NW, Washington, DC 20531. Do not send your completed form to this address.
.
«AGENCY ID»
LOCAL JAIL INMATE DEATH REPORT
1. What was the inmate’s name?
LAST
8. On what date was the inmate admitted to a facility
under your jurisdiction?
FIRST
MI
MONTH
DAY
YEAR
2. On what date did the inmate die?
2
MONTH
DAY
0
1
9. Was the inmate being confined in your jail facility
on behalf of any of the following?
8
YEAR
PLEASE PROVIDE A RESPONSE FOR EACH ITEM (a–c)
3. What was the name and location of the correctional
facility involved?
Facility Name:
Facility City:
Facility State:
DON’T
YES NO KNOW
a. U.S. Immigration and
Customs Enforcement................................ ...........
b. U.S. Marshals Service ................................ ...........
c. State or federal prison,
Bureau of Indian Affairs,
or any other jail jurisdiction......................... ...........
10. For what offense(s) was the inmate being held?
4. What was the inmate’s date of birth?
a.
b.
MONTH
DAY
YEAR
c.
5. What was the inmate’s sex?
Male
Female
6. Was the inmate of Hispanic, Latino, or Spanish
origin?
Yes
No
7. In addition, what was the inmate’s race? Please
select one or more of the following racial
categories:
White
Black or African American
American Indian or Alaska Native
Asian
Native Hawaiian or Pacific Islander
Some other race
Please Specify:
d.
e.
11. What was the inmate’s legal status at time of
death? (For inmates with more than one status, report
the status associated with the most serious offense.)
Convicted—new court commitment
Convicted—returned probation/parole violator
Unconvicted
Other
Please Specify:
12. Since admission, did the inmate ever stay
overnight in a mental health observation unit or an
outside mental health facility?
Yes
No
Don’t Know
«AGENCY ID»
13. Where did the inmate die?
In a general housing unit within the jail facility or in a general housing unit on jail grounds
In a segregation unit
In a special medical unit/infirmary within the jail facility
In a special mental health services unit within the jail facility
In a medical center outside the jail facility
In a mental health center outside the jail facility
While in transit
Elsewhere
Please Specify:
14. Are the results of a medical examiner’s or coroner’s evaluation (such as an autopsy, postmortem exam, or
review of medical records) available to establish an official cause of death?
YES
CONTINUE TO Q15
Evaluation complete—results are pending
SKIP REMAINING QUESTIONS AND SUBMIT THIS FORM—YOU WILL BE CONTACTED AT A LATER
TIME FOR THE CAUSE OF DEATH
No evaluation is planned
15. What was the cause of death?
CONTINUE TO Q15
*** Please SPECIFY cause of death—it is critical information ***
Illness—Exclude AIDS-related deaths [Specify]
Acquired Immune Deficiency Syndrome (AIDS)
Accidental alcohol/drug intoxication [Describe]
Accidental injury to self [Describe]
Accidental injury by other (e.g., vehicular
accidents during transport) [Describe]
Suicide (e.g., hanging, knife/cutting instrument,
intentional drug overdose) [Describe]
Homicide [Describe]
Other cause(s) [Specify]
16. Where did the incident (e.g., accident, suicide, or homicide) causing the death take place?
NOT APPLICABLE—Cause of death was illness, intoxication, or AIDS-related
In the jail facility or on the jail grounds
In the inmate’s cell/room
In a temporary holding area/lockup
In a common area within the facility (e.g., yard, library, cafeteria)
[PLEASE
In a segregation unit
SPECIFY]
In a special medical unit/infirmary
In a special mental health services unit
Elsewhere within the jail facility
Please Specify:
Outside the jail facility (e.g., while on work release or on work detail)
Elsewhere
Please Specify:
«AGENCY ID»
17. When did the incident (e.g., accident, suicide, or homicide) causing the death occur?
NOT APPLICABLE—Cause of death was illness, intoxication, or AIDS-related
Morning (6 am to Noon)
Afternoon (Noon to 6 pm)
Evening (6 pm to Midnight)
Overnight (Midnight to 6 am)
18. Excluding emergency care provided at the time of death, did the inmate receive any of the following medical
services for the medical condition that caused his/her death after admission to your correctional facilities?
NOT APPLICABLE—Cause of death was accidental injury, intoxication, suicide, or homicide
a.
b.
c.
d.
e.
f.
YES
NO
DON’T KNOW
Evaluation by physician/medical staff ......................................................
PLEASE PROVIDE A
Diagnostic tests (e.g., X-rays, MRI) .........................................................
RESPONSE FOR
Medications ...............................................................................................
EACH ITEM (a–f)
Treatment/care other than medications ....................................................
Surgery ......................................................................................................
Confinement in special medical unit. ........................................................
19. Was the cause of death the result of a pre-existing medical condition or did the inmate develop the condition
after admission? (If multiple conditions caused the death and any of the conditions were pre-existing, mark
“Pre-existing medical condition.”)
NOT APPLICABLE—Cause of death was accidental injury, intoxication, suicide, or homicide
Pre-existing medical condition
Deceased developed condition after admission
Could not be determined
Please add any additional notes regarding this death here:
«AGENCY ID»
OMB No. 1121-0249 Approval Expires 01/31/2022
MORTALITY IN CORRECTIONAL INSTITUTIONS 2018
ANNUAL SUMMARY ON INMATES
UNDER JAIL JURISDICTION
Form CJ-9A
U.S. DEPARTMENT OF JUSTICE
BUREAU OF JUSTICE STATISTICS
AND ACTING AS COLLECTION AGENT:
RTI INTERNATIONAL
FORM COMPLETED BY—
Name
Title
Official
Address
Telephone
City
FAX
State
Zip
Email
Instructions for completion and submission
FOR EACH ITEM—
• If the answer to a question is “none” or “zero,” write “0” in the space provided.
• When exact numeric answers are not available, provide estimates and mark ( X ) in the checkbox beside each number that is
estimated. For example 1,234
You may submit your annual summary in one of these ways:
ONLINE: https://bjsmci.rti.org
EMAIL: bjsmci@rti.org
FAX (TOLL-FREE): (866) 800-9179
MAIL: RTI International, Attn: Data Capture
Project Number: 0215015.001.300.117.102.100
5265 Capital Boulevard
Raleigh, NC 27690-1652
If you need assistance, contact the data collection team at RTI International toll-free at 1-800-344-1387 or bjsmci@rti.org.
What to include and exclude in this data collection
INCLUDE—
✓ Confinement facilities usually administered by a local law enforcement agency, intended for adults but sometimes holding juveniles.
✓ All jails and city/county correctional centers that hold inmates beyond arraignment. Report data on all inmates, including those held in
separate holding or lockup areas within your facilities.
✓ Special jail facilities (e.g., medical/treatment/release centers, halfway houses, and work farms).
✓ Temporary holding or lockup facilities that are part of your combined function.
✓ Inmates held for other jurisdictions, including federal authorities, state prison authorities, and other local jail jurisdictions.
EXCLUDE—
X Facilities that are exclusively used as temporary holding or lockup facilities, where inmates are generally held for less than 72 hours
and not held beyond arraignment.
X Privately operated jails and facilities operated by two or more jurisdictions (i.e., multi-jurisdictional facilities). These jails will be
contacted directly for this data collection.
BURDEN STATEMENT
Under the Paperwork Reduction Act, we cannot ask you to respond to a collection of information unless it displays a currently valid OMB control number. The burden of this
collection is estimated to average 15 minutes per response, including reviewing instructions, searching existing data sources, gathering necessary data, and completing
and reviewing this form. Send comments regarding this burden estimate or any aspect of this survey, including suggestions for reducing this burden, to the Director, Bureau
of Justice Statistics, 810 Seventh Street, NW, Washington, DC 20531. Do not send your completed form to this address.
«AGENCY ID»
INMATE COUNTS AND DEATHS
1. On December 31, 2018, how many persons under the
supervision of your jail jurisdiction were CONFINED in
your jail facilities?
INCLUDE—
✓
✓
✓
✓
X
X
▪
INCLUDE contractual, temporary, courtesy, or ad hoc
holds for other agencies.
Count persons with multiple holds only once with priority
being federal, state, tribal, and local.
▪
Persons on transfer to treatment facilities but who
remain under your jurisdiction
Persons held for other jurisdictions
Persons in community-based programs (e.g., work
release, day release, or drug/alcohol treatment) who
return to jail at night
Persons out to court while under your jurisdiction.
EXCLUDE—
X
3. On December 31, 2018, how many persons CONFINED in
your jail facilities were held for—
Persons under your jurisdiction who are housed
elsewhere
Inmates who are AWOL, escaped, or on long-term
transfer to other jurisdictions
Persons in community-based programs run by your
jails (e.g., electronic monitoring, house arrest,
community service, day reporting, or work programs)
who do NOT return to jail at night.
a. U.S. Immigration and
Customs Enforcement:
Estimate
b. U.S. Marshals Service:
Estimate
c. All other holds (state and
federal prison, Bureau of
Indian Affairs, or any holds
for other jail jurisdictions):
Estimate
4. Between January 1, 2018, and December 31, 2018, what
was the average daily population of your jail facilities?
▪
INCLUDE inmates who participated in weekend
programs that allow offenders to serve their sentences
of confinement only on weekends (e.g., Friday–Sunday).
To calculate the average daily population, add the
number of persons for each day between January 1,
2018, and December 31, 2018, and divide the result by
365.
If daily counts are not available, estimate the average
daily population by adding the number of persons held
on the same day of each month and divide the result by
12.
If average daily population cannot be calculated as
directed above, then estimate the typical number of
persons held in your jail confinement facilities each day.
▪
Inmates on
December 31,
2018
Males:
Estimate
Females:
Estimate
2. How many persons under the supervision of your jail
jurisdiction were ADMITTED to your jail facilities
during 2018?
INCLUDE—
✓
✓
✓
Persons officially booked into and housed in your jail
facilities by formal legal document and by the
authority of the courts or some other official agency
Repeat offenders booked on new charges
Persons serving a weekend sentence coming into the
facility for the first time.
Returns from escape, work release, medical
appointments/treatment facilities, furloughs, bail/bond
releases, and court appearances.
New ANNUAL
admissions
during 2018
▪
Average daily
population
during 2018
Males:
Estimate
Females:
Estimate
5. Between January 1, 2018, and December 31, 2018, how
many persons died while under the supervision of your
jail facilities?
INCLUDE deaths of ALL persons—
EXCLUDE—
X
▪
Males:
Estimate
Females:
Estimate
✓
✓
✓
CONFINED in your jail facilities
UNDER THE SUPERVISION of your jail facilities, but
out to court or in special facilities (e.g., hospital,
hospice, or nursing home; treatment facility;
residential community center; residential work release
or facility-based house arrest program; or release
center)
WHILE IN TRANSIT to or from your jail facilities while
under your supervision.
EXCLUDE—
X
Number of
inmate
deaths
during 2018
Deaths of persons in the process of arrest by your
agency if they have not yet been booked into your jail
facilities.
Males:
Females:
«AGENCY ID»
OMB No. 1121-0094 Approval Expires 01/31/2019
MORTALITY IN CORRECTIONAL INSTITUTIONS 2018
DEATH REPORT ON INMATES IN
PRIVATE AND MULTI-JURISDICTIONAL JAILS
Form CJ-10
U.S. DEPARTMENT OF JUSTICE
BUREAU OF JUSTICE STATISTICS
AND ACTING AS COLLECTION AGENT:
RTI INTERNATIONAL
FORM COMPLETED BY:
Name
Title
Official
Address
Telephone
City
FAX
State
Zip
E-mail
Instructions for Completion
If no deaths occurred in 2018:
•
You do not need to complete this form.
If you had more than one death in 2018:
•
Make copies of this form for each additional death.
•
Complete the entire form for each inmate death.
•
Once your death records are complete, there are several ways to submit a death report:
ONLINE: Complete the report online at: https://bjsmci.rti.org
E-MAIL: bjsmci@rti.org
FAX (TOLL-FREE): (866) 800-9179
MAIL: RTI International, Attn: Data Capture
Project #: 0215015.001.300.117.102.100
5265 Capital Boulevard
Raleigh, NC 27690-1652
If you need assistance, contact the data collection team at RTI International toll-free at (800) 344-1387 or bjsmci@rti.org.
What deaths should be reported?
INCLUDE deaths of ALL persons…
•
Confined in your jail facilities, even if housed for
another jurisdiction
•
Under your jurisdiction but housed in special jail
facilities (e.g., medical/treatment/release centers,
halfway houses, or work farms); or on transfer to
treatment facilities
•
Under your jurisdiction but out to court
•
In transit to or from your facilities while under your
supervision
EXCLUDE deaths of ALL persons…
•
Under your jurisdiction but in nonresidential communitybased programs run by your jails (e.g., electronic
monitoring, house arrest, community service, day
reporting, work programs)
•
Under your jurisdiction but AWOL, escaped, or on longterm transfer to another jurisdiction
•
In the process of arrest by your agency, but not yet
booked into your jail facility
BURDEN STATEMENT
Under the Paperwork Reduction Act, we cannot ask you to respond to a collection of information unless it displays a currently valid OMB control number. The burden of
this collection is estimated to average 30 minutes per each reported death, including reviewing instructions, searching existing data sources, gathering necessary data,
and completing and reviewing this form. Send comments regarding this burden estimate or any aspect of this survey, including suggestions for reducing this burden, to
the Director, Bureau of Justice Statistics, 810 Seventh Street, NW, Washington, DC 20531. Do not send your completed form to this address.
.
«AGENCY ID»
LOCAL JAIL INMATE DEATH REPORT
1. What was the inmate’s name?
LAST
8. On what date was the inmate admitted to your jail
facility?
FIRST
MI
MONTH
DAY
YEAR
2. On what date did the inmate die?
2
MONTH
DAY
0
1
9. Was the inmate being confined in your jail facility
on behalf of any of the following?
8
YEAR
PLEASE PROVIDE A RESPONSE FOR EACH ITEM (a–c)
3. What was the name and location of the correctional
facility involved?
Facility Name:
Facility City:
Facility State:
DON’T
YES NO KNOW
a. U.S. Immigration and
Customs Enforcement................................ ...........
b. U.S. Marshals Service ................................ ...........
c. State or federal prison,
Bureau of Indian Affairs,
or any other jail jurisdiction......................... ...........
10. For what offense(s) was the inmate being held?
4. What was the inmate’s date of birth?
a.
b.
MONTH
DAY
YEAR
c.
5. What was the inmate’s sex?
Male
Female
6. Was the inmate of Hispanic, Latino, or Spanish
origin?
Yes
No
7. In addition, what was the inmate’s race? Please
select one or more of the following racial
categories:
White
Black or African American
American Indian or Alaska Native
Asian
Native Hawaiian or Pacific Islander
Some other race
Please Specify:
d.
e.
11. What was the inmate’s legal status at time of
death? (For inmates with more than one status, report
the status associated with the most serious offense.)
Convicted—new court commitment
Convicted—returned probation/parole violator
Unconvicted
Other
Please Specify:
12. Since admission, did the inmate ever stay
overnight in a mental health observation unit or an
outside mental health facility?
Yes
No
Don’t Know
«AGENCY ID»
13. Where did the inmate die?
In a general housing unit within the jail facility or in a general housing unit on jail grounds
In a segregation unit
In a special medical unit/infirmary within the jail facility
In a special mental health services unit within the jail facility
In a medical center outside the jail facility
In a mental health center outside the jail facility
While in transit
Elsewhere
Please Specify:
14. Are the results of a medical examiner’s or coroner’s evaluation (such as an autopsy, postmortem exam, or
review of medical records) available to establish an official cause of death?
YES
CONTINUE TO Q15
Evaluation complete—results are pending
SKIP REMAINING QUESTIONS AND SUBMIT THIS FORM—YOU WILL BE CONTACTED AT A LATER
TIME FOR THE CAUSE OF DEATH
No evaluation is planned
15. What was the cause of death?
CONTINUE TO Q15
*** Please SPECIFY cause of death—it is critical information ***
Illness—Exclude AIDS-related deaths [Specify]
Acquired Immune Deficiency Syndrome (AIDS)
Accidental alcohol/drug intoxication [Describe]
Accidental injury to self [Describe]
Accidental injury by other (e.g., vehicular
accidents during transport) [Describe]
Suicide (e.g., hanging, knife/cutting instrument,
intentional drug overdose) [Describe]
Homicide [Describe]
Other cause(s) [Specify]
16. Where did the incident (e.g., accident, suicide, or homicide) causing the death take place?
NOT APPLICABLE—Cause of death was illness, intoxication, or AIDS-related
In the jail facility or on the jail grounds
In the inmate’s cell/room
In a temporary holding area/lockup
In a common area within the facility (e.g., yard, library, cafeteria)
[PLEASE
In a segregation unit
SPECIFY]
In a special medical unit/infirmary
In a special mental health services unit
Elsewhere within the jail facility
Please Specify:
Outside the jail facility (e.g., while on work release or on work detail)
Elsewhere
Please Specify:
«AGENCY ID»
17. When did the incident (e.g., accident, suicide, or homicide) causing the death occur?
NOT APPLICABLE—Cause of death was illness, intoxication, or AIDS-related
Morning (6 am to Noon)
Afternoon (Noon to 6 pm)
Evening (6 pm to Midnight)
Overnight (Midnight to 6 am)
18. Excluding emergency care provided at the time of death, did the inmate receive any of the following medical
services for the medical condition that caused his/her death after admission to your correctional facilities?
NOT APPLICABLE—Cause of death was accidental injury, intoxication, suicide, or homicide
a.
b.
c.
d.
e.
f.
YES
NO
DON’T KNOW
Evaluation by physician/medical staff ......................................................
PLEASE PROVIDE A
Diagnostic tests (e.g., X-rays, MRI) .........................................................
RESPONSE FOR
Medications ...............................................................................................
EACH ITEM (a–f)
Treatment/care other than medications ....................................................
Surgery ......................................................................................................
Confinement in special medical unit. ........................................................
19. Was the cause of death the result of a pre-existing medical condition or did the inmate develop the condition
after admission? (If multiple conditions caused the death and any of the conditions were pre-existing, mark
“Pre-existing medical condition.”)
NOT APPLICABLE—Cause of death was accidental injury, intoxication, suicide, or homicide
Pre-existing medical condition
Deceased developed condition after admission
Could not be determined
Please add any additional notes regarding this death here:
«AGENCY ID»
OMB No. 1121-0249 Approval Expires 01/31/2022
MORTALITY IN CORRECTIONAL INSTITUTIONS 2018
ANNUAL SUMMARY ON INMATES IN
PRIVATE AND MULTIJURISDICTIONAL JAILS
Form CJ-10A
U.S. DEPARTMENT OF JUSTICE
BUREAU OF JUSTICE STATISTICS
AND ACTING AS COLLECTION AGENT:
RTI INTERNATIONAL
FORM COMPLETED BY—
Name
Title
Official
Address
Telephone
City
FAX
State
Zip
Email
Instructions for completion and submission
FOR EACH ITEM—
• If the answer to a question is “none” or “zero,” write “0” in the space provided.
• When exact numeric answers are not available, provide estimates and mark ( X ) in the checkbox beside each number that is
estimated. For example 1,234
You may submit your annual summary in one of these ways:
ONLINE: Complete this form online at: https://bjsmci.rti.org
EMAIL: bjsmci@rti.org
FAX (TOLL-FREE): (866) 800-9179
MAIL: RTI International, Attn: Data Capture
Project Number: 0215015.001.300.117.102.100
5265 Capital Boulevard
Raleigh, NC 27690-1652
If you need assistance, contact the data collection team at RTI International toll-free at 1-800-344-1387 or bjsmci@rti.org.
What to include and exclude in this data collection
INCLUDE—
✓ Confinement facilities—including detention centers, jails, and other correctional facilities—intended for adults but sometimes holding
juveniles, that are either privately owned and operated or administered by two or more governments (or a board composed of
representatives from two or more governments).
✓ All jails and city/county correctional centers that hold inmates beyond arraignment. Report data on all inmates, including those held in
separate holding or lockup areas within your facilities.
✓ Special jail facilities (e.g., medical/treatment/release centers, halfway houses, and work farms).
✓ Temporary holding or lockup facilities that are part of your combined function.
✓ Inmates held for other jurisdictions, including federal authorities, state prison authorities, and other local jail jurisdictions.
EXCLUDE—
X Facilities that are exclusively used as temporary holding or lockup facilities, where inmates are generally held for less than 72 hours
and not held beyond arraignment.
BURDEN STATEMENT
Under the Paperwork Reduction Act, we cannot ask you to respond to a collection of information unless it displays a currently valid OMB control number. The burden of this
collection is estimated to average 15 minutes per response, including reviewing instructions, searching existing data sources, gathering necessary data, and completing
and reviewing this form. Send comments regarding this burden estimate or any aspect of this survey, including suggestions for reducing this burden, to the Director, Bureau
of Justice Statistics, 810 Seventh Street, NW, Washington, DC 20531. Do not send your completed form to this address.
«AGENCY ID»
INMATE COUNTS AND DEATHS
1. On December 31, 2018, how many persons under the
supervision of your jail were CONFINED in this facility?
▪
INCLUDE—
✓
✓
✓
✓
Persons on transfer to treatment facilities but who
remain under your jurisdiction
Persons held for other jurisdictions
Persons in community-based programs (e.g., work
release, day release, or drug/alcohol treatment) who
return to jail at night
Persons out to court while under your jurisdiction.
EXCLUDE—
X
X
X
Persons under your jurisdiction who are housed
elsewhere
Inmates who are AWOL, escaped, or on long-term
transfer to other jurisdictions
Persons in community-based programs run by this
facility (e.g., electronic monitoring, house arrest,
community service, day reporting, or work programs)
who do NOT return to jail at night.
Inmates on
December 31,
2018
3. On December 31, 2018, how many persons CONFINED in
this facility were held for—
Males:
Estimate
Females:
Estimate
INCLUDE contractual, temporary, courtesy, or ad hoc
holds for other agencies.
Count persons with multiple holds only once with priority
being federal, state, tribal, and local.
▪
a. U.S. Immigration and
Customs Enforcement:
Estimate
b. U.S. Marshals Service:
Estimate
c. All other holds (state and
federal prison, Bureau of
Indian Affairs, or any holds
for other jail jurisdictions):
Estimate
4. Between January 1, 2018, and December 31, 2018, what
was the average daily population of this facility?
▪
INCLUDE inmates who participated in weekend
programs that allow offenders to serve their sentences
of confinement only on weekends (e.g., Friday–Sunday).
To calculate the average daily population, add the
number of persons for each day between January 1,
2018, and December 31, 2018, and divide the result by
365.
If daily counts are not available, estimate the average
daily population by adding the number of persons held
on the same day of each month and divide the result by
12.
If average daily population cannot be calculated as
directed above, then estimate the typical number of
persons held in this facility each day.
▪
▪
2. How many persons under the supervision of your jail were
ADMITTED to this facility during 2018?
▪
INCLUDE—
✓
✓
✓
Persons officially booked into and housed in this
facility by formal legal document and by the authority
of the courts or some other official agency
Repeat offenders booked on new charges
Persons serving a weekend sentence coming into the
facility for the first time.
EXCLUDE—
X
Returns from escape, work release, medical
appointments/treatment facilities, furloughs, bail/bond
releases, and court appearances.
New ANNUAL
admissions
during 2018
Males:
Estimate
Females:
Estimate
Average daily
population
during 2018
Males:
Estimate
Females:
Estimate
5. Between January 1, 2018, and December 31, 2018, how
many persons died while under the supervision of this
facility?
INCLUDE deaths of ALL persons—
✓
✓
✓
CONFINED in this facility
UNDER THE SUPERVISION of this facility, but out to
court or in special facilities (e.g., hospital, hospice, or
nursing home; treatment facility; residential
community center; residential work release or facilitybased house arrest program; or release center)
WHILE IN TRANSIT to or from this facility while
under your supervision.
EXCLUDE—
X
Number of
inmate
deaths
during 2018
Deaths of persons in the process of arrest by your
agency if they have not yet been booked into this
facility.
Males:
Females:
«AGENCY ID»
Appendix C
The Omnibus Crime Control and Safe Street Act of 1968
8/16/2018
34 USC Subtitle I, CHAPTER 101, SUBCHAPTER III: BUREAU OF JUSTICE STATISTICS
From Title 34—CRIME CONTROL AND LAW ENFORCEMENT
Subtitle I—Comprehensive Acts
CHAPTER 101—JUSTICE SYSTEM IMPROVEMENT
SUBCHAPTER III—BUREAU OF JUSTICE STATISTICS
§10131. Statement of purpose
It is the purpose of this subchapter to provide for and encourage the collection and analysis of statistical information
concerning crime, juvenile delinquency, and the operation of the criminal justice system and related aspects of the civil
justice system and to support the development of information and statistical systems at the Federal, State, and local
levels to improve the efforts of these levels of government to measure and understand the levels of crime, juvenile
delinquency, and the operation of the criminal justice system and related aspects of the civil justice system. The
Bureau shall utilize to the maximum extent feasible State governmental organizations and facilities responsible for the
collection and analysis of criminal justice data and statistics. In carrying out the provisions of this subchapter, the
Bureau shall give primary emphasis to the problems of State and local justice systems.
(Pub. L. 90–351, title I, §301, as added Pub. L. 96–157, §2, Dec. 27, 1979, 93 Stat. 1176; amended Pub. L. 98–473,
title II, §605(a), Oct. 12, 1984, 98 Stat. 2079.)
CODIFICATION
Section was formerly classified to section 3731 of Title 42, The Public Health and Welfare, prior to
editorial reclassification and renumbering as this section.
PRIOR PROVISIONS
A prior section 301 of Pub. L. 90–351, title I, June 19, 1968, 82 Stat. 199; Pub. L. 91–644, title I, §4(1)–(4),
Jan. 2, 1971, 84 Stat. 1882; Pub. L. 93–83, §2, Aug. 6, 1973, 87 Stat. 199; Pub. L. 94–503, title I, §§109,
128(b), Oct. 15, 1976, 90 Stat. 2411, 2424, related to purposes and categories of grants for law
enforcement and criminal justice purposes, prior to the general amendment of this chapter by Pub. L. 96–
157.
AMENDMENTS
1984—Pub. L. 98–473 struck out "(including white-collar crime and public corruption)" after "information
concerning crime" and "(including crimes against the elderly, white-collar crime, and public corruption)"
after "levels of crime".
EFFECTIVE DATE OF 1984 AMENDMENT
Amendment by Pub. L. 98–473 effective Oct. 12, 1984, see section 609AA(a) of Pub. L. 98–473, set out
as an Effective Date note under section 10101 of this title.
§10132. Bureau of Justice Statistics
(a) Establishment
There is established within the Department of Justice, under the general authority of the Attorney General, a Bureau
of Justice Statistics (hereinafter referred to in this subchapter as "Bureau").
(b) Appointment of Director; experience; authority; restrictions
The Bureau shall be headed by a Director appointed by the President. The Director shall have had experience in
statistical programs. The Director shall have final authority for all grants, cooperative agreements, and contracts
awarded by the Bureau. The Director shall be responsible for the integrity of data and statistics and shall protect
against improper or illegal use or disclosure. The Director shall report to the Attorney General through the Assistant
Attorney General. The Director shall not engage in any other employment than that of serving as Director; nor shall the
Director hold any office in, or act in any capacity for, any organization, agency, or institution with which the Bureau
makes any contract or other arrangement under this Act.
(c) Duties and functions of Bureau
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The Bureau is authorized to—
(1) make grants to, or enter into cooperative agreements or contracts with public agencies, institutions of higher
education, private organizations, or private individuals for purposes related to this subchapter; grants shall be made
subject to continuing compliance with standards for gathering justice statistics set forth in rules and regulations
promulgated by the Director;
(2) collect and analyze information concerning criminal victimization, including crimes against the elderly, and civil
disputes;
(3) collect and analyze data that will serve as a continuous and comparable national social indication of the
prevalence, incidence, rates, extent, distribution, and attributes of crime, juvenile delinquency, civil disputes, and
other statistical factors related to crime, civil disputes, and juvenile delinquency, in support of national, State, tribal,
and local justice policy and decisionmaking;
(4) collect and analyze statistical information, concerning the operations of the criminal justice system at the
Federal, State, tribal, and local levels;
(5) collect and analyze statistical information concerning the prevalence, incidence, rates, extent, distribution, and
attributes of crime, and juvenile delinquency, at the Federal, State, tribal, and local levels;
(6) analyze the correlates of crime, civil disputes and juvenile delinquency, by the use of statistical information,
about criminal and civil justice systems at the Federal, State, tribal, and local levels, and about the extent,
distribution and attributes of crime, and juvenile delinquency, in the Nation and at the Federal, State, tribal, and local
levels;
(7) compile, collate, analyze, publish, and disseminate uniform national statistics concerning all aspects of criminal
justice and related aspects of civil justice, crime, including crimes against the elderly, juvenile delinquency, criminal
offenders, juvenile delinquents, and civil disputes in the various States and in Indian country;
(8) recommend national standards for justice statistics and for insuring the reliability and validity of justice statistics
supplied pursuant to this chapter;
(9) maintain liaison with the judicial branches of the Federal Government and State and tribal governments in
matters relating to justice statistics, and cooperate with the judicial branch in assuring as much uniformity as feasible
in statistical systems of the executive and judicial branches;
(10) provide information to the President, the Congress, the judiciary, State, tribal, and local governments, and the
general public on justice statistics;
(11) establish or assist in the establishment of a system to provide State, tribal, and local governments with access
to Federal informational resources useful in the planning, implementation, and evaluation of programs under this Act;
(12) conduct or support research relating to methods of gathering or analyzing justice statistics;
(13) provide for the development of justice information systems programs and assistance to the States, Indian
tribes, and units of local government relating to collection, analysis, or dissemination of justice statistics;
(14) develop and maintain a data processing capability to support the collection, aggregation, analysis and
dissemination of information on the incidence of crime and the operation of the criminal justice system;
(15) collect, analyze and disseminate comprehensive Federal justice transaction statistics (including statistics on
issues of Federal justice interest such as public fraud and high technology crime) and to provide technical assistance
to and work jointly with other Federal agencies to improve the availability and quality of Federal justice data;
(16) provide for the collection, compilation, analysis, publication and dissemination of information and statistics
about the prevalence, incidence, rates, extent, distribution and attributes of drug offenses, drug related offenses and
drug dependent offenders and further provide for the establishment of a national clearinghouse to maintain and
update a comprehensive and timely data base on all criminal justice aspects of the drug crisis and to disseminate
such information;
(17) provide for the collection, analysis, dissemination and publication of statistics on the condition and progress of
drug control activities at the Federal, State, tribal, and local levels with particular attention to programs and
intervention efforts demonstrated to be of value in the overall national anti-drug strategy and to provide for the
establishment of a national clearinghouse for the gathering of data generated by Federal, State, tribal, and local
criminal justice agencies on their drug enforcement activities;
(18) provide for the development and enhancement of State, tribal, and local criminal justice information systems,
and the standardization of data reporting relating to the collection, analysis or dissemination of data and statistics
about drug offenses, drug related offenses, or drug dependent offenders;
(19) provide for improvements in the accuracy, quality, timeliness, immediate accessibility, and integration of State
and tribal criminal history and related records, support the development and enhancement of national systems of
criminal history and related records including the National Instant Criminal Background Check System, the National
Incident-Based Reporting System, and the records of the National Crime Information Center, facilitate State and
tribal participation in national records and information systems, and support statistical research for critical analysis of
the improvement and utilization of criminal history records;
(20) maintain liaison with State, tribal, and local governments and governments of other nations concerning justice
statistics;
(21) cooperate in and participate with national and international organizations in the development of uniform
justice statistics;
(22) ensure conformance with security and privacy requirement of section 10231 of this title and identify, analyze,
and participate in the development and implementation of privacy, security and information policies which impact on
Federal, tribal, and State criminal justice operations and related statistical activities; and
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(23) exercise the powers and functions set out in subchapter VII.
(d) Justice statistical collection, analysis, and dissemination
(1) In general
To ensure that all justice statistical collection, analysis, and dissemination is carried out in a coordinated manner,
the Director is authorized to—
(A) utilize, with their consent, the services, equipment, records, personnel, information, and facilities of other
Federal, State, local, and private agencies and instrumentalities with or without reimbursement therefor, and to
enter into agreements with such agencies and instrumentalities for purposes of data collection and analysis;
(B) confer and cooperate with State, municipal, and other local agencies;
(C) request such information, data, and reports from any Federal agency as may be required to carry out the
purposes of this chapter;
(D) seek the cooperation of the judicial branch of the Federal Government in gathering data from criminal justice
records;
(E) encourage replication, coordination and sharing among justice agencies regarding information systems,
information policy, and data; and
(F) confer and cooperate with Federal statistical agencies as needed to carry out the purposes of this
subchapter, including by entering into cooperative data sharing agreements in conformity with all laws and
regulations applicable to the disclosure and use of data.
(2) Consultation with Indian tribes
The Director, acting jointly with the Assistant Secretary for Indian Affairs (acting through the Office of Justice
Services) and the Director of the Federal Bureau of Investigation, shall work with Indian tribes and tribal law
enforcement agencies to establish and implement such tribal data collection systems as the Director determines to
be necessary to achieve the purposes of this section.
(e) Furnishing of information, data, or reports by Federal agencies
Federal agencies requested to furnish information, data, or reports pursuant to subsection (d)(1)(C) shall provide
such information to the Bureau as is required to carry out the purposes of this section.
(f) Consultation with representatives of State, tribal, and local government and judiciary
In recommending standards for gathering justice statistics under this section, the Director shall consult with
representatives of State, tribal, and local government, including, where appropriate, representatives of the judiciary.
(g) Reports
Not later than 1 year after July 29, 2010, and annually thereafter, the Director shall submit to Congress a report
describing the data collected and analyzed under this section relating to crimes in Indian country.
(Pub. L. 90–351, title I, §302, as added Pub. L. 96–157, §2, Dec. 27, 1979, 93 Stat. 1176; amended Pub. L. 98–473,
title II, §605(b), Oct. 12, 1984, 98 Stat. 2079; Pub. L. 100–690, title VI, §6092(a), Nov. 18, 1988, 102 Stat. 4339; Pub.
L. 103–322, title XXXIII, §330001(h)(2), Sept. 13, 1994, 108 Stat. 2139; Pub. L. 109–162, title XI, §1115(a), Jan. 5,
2006, 119 Stat. 3103; Pub. L. 111–211, title II, §251(b), July 29, 2010, 124 Stat. 2297; Pub. L. 112–166, §2(h)(1), Aug.
10, 2012, 126 Stat. 1285.)
REFERENCES IN TEXT
This Act, referred to in subsecs. (b) and (c)(11), is Pub. L. 90–351, June 19, 1968, 82 Stat. 197, known as
the Omnibus Crime Control and Safe Streets Act of 1968. For complete classification of this Act to the
Code, see Short Title of 1968 Act note set out under section 10101 of this title and Tables.
CODIFICATION
Section was formerly classified to section 3732 of Title 42, The Public Health and Welfare, prior to
editorial reclassification and renumbering as this section.
PRIOR PROVISIONS
A prior section 302 of Pub. L. 90–351, title I, June 19, 1968, 82 Stat. 200; Pub. L. 93–83, §2, Aug. 6, 1973,
87 Stat. 201; Pub. L. 94–503, title I, §110, Oct. 15, 1976, 90 Stat. 2412, related to establishment of State
planning agencies to develop comprehensive State plans for grants for law enforcement and criminal
justice purposes, prior to the general amendment of this chapter by Pub. L. 96–157.
AMENDMENTS
2012—Subsec. (b). Pub. L. 112–166 struck out ", by and with the advice and consent of the Senate"
before period at end of first sentence.
2010—Subsec. (c)(3) to (6). Pub. L. 111–211, §251(b)(1)(A), inserted "tribal," after "State," wherever
appearing.
Subsec. (c)(7). Pub. L. 111–211, §251(b)(1)(B), inserted "and in Indian country" after "States".
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Subsec. (c)(9). Pub. L. 111–211, §251(b)(1)(C), substituted "Federal Government and State and tribal
governments" for "Federal and State Governments".
Subsec. (c)(10), (11). Pub. L. 111–211, §251(b)(1)(D), inserted ", tribal," after "State".
Subsec. (c)(13). Pub. L. 111–211, §251(b)(1)(E), inserted ", Indian tribes," after "States".
Subsec. (c)(17). Pub. L. 111–211, §251(b)(1)(F), substituted "activities at the Federal, State, tribal, and
local" for "activities at the Federal, State and local" and "generated by Federal, State, tribal, and local" for
"generated by Federal, State, and local".
Subsec. (c)(18). Pub. L. 111–211, §251(b)(1)(G), substituted "State, tribal, and local" for "State and
local".
Subsec. (c)(19). Pub. L. 111–211, §251(b)(1)(H), inserted "and tribal" after "State" in two places.
Subsec. (c)(20). Pub. L. 111–211, §251(b)(1)(I), inserted ", tribal," after "State".
Subsec. (c)(22). Pub. L. 111–211, §251(b)(1)(J), inserted ", tribal," after "Federal".
Subsec. (d). Pub. L. 111–211, §251(b)(2), designated existing provisions as par. (1), inserted par. (1)
heading, substituted "To ensure" for "To insure", redesignated former pars. (1) to (6) as subpars. (A) to
(F), respectively, of par. (1), realigned margins, and added par. (2).
Subsec. (e). Pub. L. 111–211, §251(b)(3), substituted "subsection (d)(1)(C)" for "subsection (d)(3)".
Subsec. (f). Pub. L. 111–211, §251(b)(4)(B), inserted ", tribal," after "State".
Pub. L. 111–211, §251(b)(4)(A), which directed insertion of ", tribal," after "State" in heading, was
executed editorially but could not be executed in original because heading had been editorially supplied.
Subsec. (g). Pub. L. 111–211, §251(b)(5), added subsec. (g).
2006—Subsec. (b). Pub. L. 109–162, §1115(a)(1), inserted after third sentence "The Director shall be
responsible for the integrity of data and statistics and shall protect against improper or illegal use or
disclosure."
Subsec. (c)(19). Pub. L. 109–162, §1115(a)(2), amended par. (19) generally. Prior to amendment, par.
(19) read as follows: "provide for research and improvements in the accuracy, completeness, and
inclusiveness of criminal history record information, information systems, arrest warrant, and stolen
vehicle record information and information systems and support research concerning the accuracy,
completeness, and inclusiveness of other criminal justice record information;".
Subsec. (d)(6). Pub. L. 109–162, §1115(a)(3), added par. (6).
1994—Subsec. (c)(19). Pub. L. 103–322 substituted a semicolon for period at end.
1988—Subsec. (c)(16) to (23). Pub. L. 100–690 added pars. (16) to (19) and redesignated former pars.
(16) to (19) as (20) to (23), respectively.
1984—Subsec. (b). Pub. L. 98–473, §605(b)(1), inserted provision requiring Director to report to Attorney
General through Assistant Attorney General.
Subsec. (c)(13). Pub. L. 98–473, §605(b)(2)(A), (C), added par. (13) and struck out former par. (13)
relating to provision of financial and technical assistance to States and units of local government relating
to collection, analysis, or dissemination of justice statistics.
Subsec. (c)(14), (15). Pub. L. 98–473, §605(b)(2)(C), added pars. (14) and (15). Former pars. (14) and
(15) redesignated (16) and (17), respectively.
Subsec. (c)(16). Pub. L. 98–473, §605(b)(2)(A), (B), redesignated par. (14) as (16) and struck out former
par. (16) relating to insuring conformance with security and privacy regulations issued under section 10231
of this title.
Subsec. (c)(17). Pub. L. 98–473, §605(b)(2)(B), redesignated par. (15) as (17). Former par. (17)
redesignated (19).
Subsec. (c)(18). Pub. L. 98–473, §605(b)(2)(D), added par. (18).
Subsec. (c)(19). Pub. L. 98–473, §605(b)(2)(B), redesignated former par. (17) as (19).
Subsec. (d)(1). Pub. L. 98–473, §605(b)(3)(A), inserted ", and to enter into agreements with such
agencies and instrumentalities for purposes of data collection and analysis".
Subsec. (d)(5). Pub. L. 98–473, §605(b)(3)(B)–(D), added par. (5).
EFFECTIVE DATE OF 2012 AMENDMENT
Amendment by Pub. L. 112–166 effective 60 days after Aug. 10, 2012, and applicable to appointments
made on and after that effective date, including any nomination pending in the Senate on that date, see
section 6(a) of Pub. L. 112–166, set out as a note under section 113 of Title 6, Domestic Security.
EFFECTIVE DATE OF 1984 AMENDMENT
Amendment by Pub. L. 98–473 effective Oct. 12, 1984, see section 609AA(a) of Pub. L. 98–473, set out
as an Effective Date note under section 10101 of this title.
CONSTRUCTION OF 2010 AMENDMENT
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Pub. L. 111–211, title II, §251(c), July 29, 2010, 124 Stat. 2298, provided that: "Nothing in this section
[amending this section and section 41507 of this title] or any amendment made by this section—
"(1) allows the grant to be made to, or used by, an entity for law enforcement activities that the
entity lacks jurisdiction to perform; or
"(2) has any effect other than to authorize, award, or deny a grant of funds to a federally
recognized Indian tribe for the purposes described in the relevant grant program."
[For definition of "Indian tribe" as used in section 251(c) of Pub. L. 111–211, set out above, see section
203(a) of Pub. L. 111–211, set out as a note under section 2801 of Title 25, Indians.]
INCLUSION OF HONOR VIOLENCE IN NATIONAL CRIME VICTIMIZATION SURVEY
Pub. L. 113–235, div. B, title II, Dec. 16, 2014, 128 Stat. 2191, provided in part: "That beginning not later
than 2 years after the date of enactment of this Act [div. B of Pub. L. 113–235, Dec. 16, 2014], as part of
each National Crime Victimization Survey, the Attorney General shall include statistics relating to honor
violence".
STUDY OF CRIMES AGAINST SENIORS
Pub. L. 106–534, §5, Nov. 22, 2000, 114 Stat. 2557, provided that:
"(a) IN GENERAL.—The Attorney General shall conduct a study relating to crimes against seniors, in order
to assist in developing new strategies to prevent and otherwise reduce the incidence of those crimes.
"(b) ISSUES ADDRESSED.—The study conducted under this section shall include an analysis of—
"(1) the nature and type of crimes perpetrated against seniors, with special focus on—
"(A) the most common types of crimes that affect seniors;
"(B) the nature and extent of telemarketing, sweepstakes, and repair fraud against seniors;
and
"(C) the nature and extent of financial and material fraud targeted at seniors;
"(2) the risk factors associated with seniors who have been victimized;
"(3) the manner in which the Federal and State criminal justice systems respond to crimes against
seniors;
"(4) the feasibility of States establishing and maintaining a centralized computer database on the
incidence of crimes against seniors that will promote the uniform identification and reporting of such
crimes;
"(5) the effectiveness of damage awards in court actions and other means by which seniors
receive reimbursement and other damages after fraud has been established; and
"(6) other effective ways to prevent or reduce the occurrence of crimes against seniors."
INCLUSION OF SENIORS IN NATIONAL CRIME VICTIMIZATION SURVEY
Pub. L. 106–534, §6, Nov. 22, 2000, 114 Stat. 2557, provided that: "Beginning not later than 2 years after
the date of enactment of this Act [Nov. 22, 2000], as part of each National Crime Victimization Survey, the
Attorney General shall include statistics relating to—
"(1) crimes targeting or disproportionately affecting seniors;
"(2) crime risk factors for seniors, including the times and locations at which crimes victimizing
seniors are most likely to occur; and
"(3) specific characteristics of the victims of crimes who are seniors, including age, gender, race or
ethnicity, and socioeconomic status."
CRIME VICTIMS WITH DISABILITIES AWARENESS
Pub. L. 105–301, Oct. 27, 1998, 112 Stat. 2838, as amended by Pub. L. 106–402, title IV, §401(b)(10), Oct.
30, 2000, 114 Stat. 1739, provided that:
"SECTION 1. SHORT TITLE.
"This Act may be cited as the 'Crime Victims With Disabilities Awareness Act'.
"SEC. 2. FINDINGS; PURPOSES.
"(a) FINDINGS.—Congress finds that—
"(1) although research conducted abroad demonstrates that individuals with developmental
disabilities are at a 4 to 10 times higher risk of becoming crime victims than those without disabilities,
there have been no significant studies on this subject conducted in the United States;
"(2) in fact, the National Crime Victim's Survey, conducted annually by the Bureau of Justice
Statistics of the Department of Justice, does not specifically collect data relating to crimes against
individuals with developmental disabilities;
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"(3) studies in Canada, Australia, and Great Britain consistently show that victims with
developmental disabilities suffer repeated victimization because so few of the crimes against them are
reported, and even when they are, there is sometimes a reluctance by police, prosecutors, and judges
to rely on the testimony of a disabled individual, making individuals with developmental disabilities a
target for criminal predators;
"(4) research in the United States needs to be done to—
"(A) understand the nature and extent of crimes against individuals with developmental
disabilities;
"(B) describe the manner in which the justice system responds to crimes against individuals
with developmental disabilities; and
"(C) identify programs, policies, or laws that hold promises for making the justice system more
responsive to crimes against individuals with developmental disabilities; and
"(5) the National Academy of Science Committee on Law and Justice of the National Research
Council is a premier research institution with unique experience in developing seminal, multidisciplinary
studies to establish a strong research base from which to make public policy.
"(b) PURPOSES.—The purposes of this Act are—
"(1) to increase public awareness of the plight of victims of crime who are individuals with
developmental disabilities;
"(2) to collect data to measure the extent of the problem of crimes against individuals with
developmental disabilities; and
"(3) to develop a basis to find new strategies to address the safety and justice needs of victims of
crime who are individuals with developmental disabilities.
"SEC. 3. DEFINITION OF DEVELOPMENTAL DISABILITY.
"In this Act, the term 'developmental disability' has the meaning given the term in section 102 of the
Developmental Disabilities Assistance and Bill of Rights Act of 2000 [42 U.S.C. 15002].
"SEC. 4. STUDY.
"(a) IN GENERAL.—The Attorney General shall conduct a study to increase knowledge and information
about crimes against individuals with developmental disabilities that will be useful in developing new
strategies to reduce the incidence of crimes against those individuals.
"(b) ISSUES ADDRESSED.—The study conducted under this section shall address such issues as—
"(1) the nature and extent of crimes against individuals with developmental disabilities;
"(2) the risk factors associated with victimization of individuals with developmental disabilities;
"(3) the manner in which the justice system responds to crimes against individuals with
developmental disabilities; and
"(4) the means by which States may establish and maintain a centralized computer database on
the incidence of crimes against individuals with disabilities within a State.
"(c) NATIONAL ACADEMY OF SCIENCES.—In carrying out this section, the Attorney General shall consider
contracting with the Committee on Law and Justice of the National Research Council of the National
Academy of Sciences to provide research for the study conducted under this section.
"(d) REPORT.—Not later than 18 months after the date of enactment of this Act [Oct. 27, 1998], the
Attorney General shall submit to the Committees on the Judiciary of the Senate and the House of
Representatives a report describing the results of the study conducted under this section.
"SEC. 5. NATIONAL CRIME VICTIM'S SURVEY.
"Not later than 2 years after the date of enactment of this Act, as part of each National Crime Victim's
Survey, the Attorney General shall include statistics relating to—
"(1) the nature of crimes against individuals with developmental disabilities; and
"(2) the specific characteristics of the victims of those crimes."
§10133. Authority for 100 per centum grants
A grant authorized under this subchapter may be up to 100 per centum of the total cost of each project for which
such grant is made. The Bureau shall require, whenever feasible as a condition of approval of a grant under this
subchapter, that the recipient contribute money, facilities, or services to carry out the purposes for which the grant is
sought.
(Pub. L. 90–351, title I, §303, as added Pub. L. 96–157, §2, Dec. 27, 1979, 93 Stat. 1178.)
CODIFICATION
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Section was formerly classified to section 3733 of Title 42, The Public Health and Welfare, prior to
editorial reclassification and renumbering as this section.
PRIOR PROVISIONS
A prior section 303 of Pub. L. 90–351, title I, June 19, 1968, 82 Stat. 201; Pub. L. 91–644, title I, §4(5), (6),
Jan. 2, 1971, 84 Stat. 1883; Pub. L. 93–83, §2, Aug. 6, 1973, 87 Stat. 201; Pub. L. 93–415, title V, §543, Sept.
7, 1974, 88 Stat. 1142; Pub. L. 94–503, title I, §111, Oct. 15, 1976, 90 Stat. 2413; Pub. L. 96–181, §15(b), Jan.
2, 1980, 93 Stat. 1316, set out requirements of State plans in order to qualify for grants for law
enforcement and criminal justice purposes, prior to the general amendment of this chapter by Pub. L. 96–
157.
§10134. Use of data
Data collected by the Bureau shall be used only for statistical or research purposes, and shall be gathered in a
manner that precludes their use for law enforcement or any purpose relating to a private person or public agency other
than statistical or research purposes.
(Pub. L. 90–351, title I, §304, formerly §305, as added Pub. L. 96–157, §2, Dec. 27, 1979, 93 Stat. 1179; renumbered
§304, Pub. L. 98–473, title II, §605(d), Oct. 12, 1984, 98 Stat. 2080; amended Pub. L. 109–162, title XI, §1115(b), Jan.
5, 2006, 119 Stat. 3104.)
CODIFICATION
Section was formerly classified to section 3735 of Title 42, The Public Health and Welfare, prior to
editorial reclassification and renumbering as this section.
PRIOR PROVISIONS
A prior section 304 of Pub. L. 90–351, as added by Pub. L. 96–157, was classified to section 3734 of Title 42,
The Public Health and Welfare, prior to repeal by Pub. L. 98–473, title II, §605(c), Oct. 12, 1984, 98 Stat.
2080.
AMENDMENTS
2006—Pub. L. 109–162 substituted "private person or public agency" for "particular individual".
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Appendix D
P.L. 113-242, Death in Custody Reporting Act of 2013
Appendix E
Report of the Attorney General to Congress Pursuant to the
Death in Custody Reporting Act, December 16, 2016
Report of the Attorney General to Congress Pursuant to
The Death in Custody Reporting Act
December 16, 2016
I.
Introduction
The Death in Custody Reporting Act enacted in December 2014 (DCRA) requires states
and federal law enforcement agencies to report certain information to the Attorney General
regarding the death of any person occurring during interactions with law enforcement officers or
while in custody. See 42 U.S.C. §§ 13727(a) & (b), 13727a(a) & (b). It further requires the
Attorney General and the Department of Justice (Department) to collect the information,
establish guidelines on how it should be reported, annually determine whether each state has
complied with the reporting requirements, and address any state’s noncompliance. In addition,
the Act requires the Department to conduct a study of the information reported and to report to
Congress the findings of that study.
The DCRA addresses a profoundly important issue, and the Department is pleased to
have made significant progress in the implementation of this statute. The collection of this
information is of immense value to state, local, and federal law enforcement agencies, to the
communities they serve, and to the country as a whole. This report provides Congress with the
information it needs to understand how the Department is implementing the Act, some of the
challenges involved, and how the Department will facilitate improved data collection in the years
ahead.
II.
Requirements of the Act
The Act provides that states must report to the Attorney General certain information
“regarding the death of any person who is detained, under arrest, or is in the process of being
arrested, is en route to be incarcerated, or is incarcerated at a municipal or county jail, State
prison, State-run boot camp prison, boot camp prison that is contracted out by the State, any
State or local contract facility, or other local or State correctional facility (including any juvenile
facility).” 42 U.S.C. § 13727(a). The information required to be reported for each such death
comprises the name, gender, race, ethnicity, and age of the deceased; the date, time, and location
of death; the law enforcement agency involved; and a brief description of the circumstances
surrounding the death. Id. §13727(b). Federal law enforcement agencies must report the same
information regarding deaths occurring under similar circumstances. Id. § 13727a(a) & (b).
The Act requires states to report the required information “on a quarterly basis and
pursuant to guidelines established by the Attorney General.” Id. § 13727(a). It further provides
that, beginning with Fiscal Year (FY) 2016 and for each fiscal year thereafter, “a State that fails
to comply with [the reporting requirements], shall, at the discretion of the Attorney General, be
subject to not more than a 10-percent reduction of the funds that would otherwise be allocated
for that fiscal year to the State under subpart 1 of part E of title I of the Omnibus Crime Control
and Safe Streets Act of 1968 (42 U.S.C. 3750 et seq.) . . . .” Id. § 13727(c)(2). The referenced
subpart of the Omnibus Crime Control and Safe Streets Act of 1968 establishes the Edward
Byrne Memorial Justice Assistance Grant Program (the Byrne JAG grant program), see 42
U.S.C. § 3750(a), which the Department of Justice administers, see id. 3751(a).
Finally, the Act requires the Attorney General to carry out a study of the information
reported by the states and federal law enforcement agencies to “(A) determine means by which
1
such information can be used to reduce the number of such deaths; and (B) examine the
relationship, if any, between the number of such deaths and the actions of management of such
jails, prisons, and other specified facilities relating to such deaths.” 42 U.S.C. § 13727(f)(1).
The Act further requires the Attorney General to submit to Congress, not later than two years
after the enactment of the Act, a report that contains the findings of that study. Id. § 13727(f)(2).
III.
Implementation of the DCRA Data Collection Requirements
The DCRA enacted in December 2014 requires the Attorney General to collect data from
federal law enforcement agencies and from states.
A. Federal Data
For each fiscal year beginning with FY 2016, the DCRA requires the head of each federal
law enforcement agency to report to the Attorney General information regarding the death of any
person occurring during interactions with federal law enforcement officers (or with state or local
law enforcement officers participating in a federal operation or otherwise acting in a federal law
enforcement capacity) or while in federal custody. See 42 U.S.C. § 13727a(a). The information
must be reported “in such form and manner specified by the Attorney General . . . .” Id.
On October 5, 2016, the Attorney General issued a memorandum to each federal
department, agency, or office that includes a law enforcement agency within its organization,
notifying it of the DCRA requirements. Since then, as requested in the memorandum, the
approximately 155 federal law enforcement agencies have been coordinating with the
Department’s Bureau of Justice Statistics (BJS) by providing points of contact to begin the
collection of FY 2016 DCRA data. BJS expects to conduct the collection of FY 2016 data from
December 2016 through March 2017 and to issue a statistical report in 2017.
B. State Data
The Act requires states to report DCRA data to the Department of Justice on a quarterly
basis pursuant to guidelines established by the Attorney General. See 42 U.S.C. § 13727(a). In
conjunction with this Report, the Department is issuing its proposed guidelines for publication in
a Federal Register Notice. 1 The Notice includes the Department’s proposed plans for collecting
the DCRA data for FYs 2016 and beyond. Pursuant to the Paperwork Reduction Act (PRA), the
Department’s DCRA data collection plans will remain open for public comment for 60 days.
The Department will then develop its final guidelines and data collection plans, considering any
comments and other feedback it has received. The PRA requires the publication of those final
plans for another 30-day period and approval of the plans by the Office of Management and
Budget before the plans may be implemented.
The Department’s proposed data collection plan will call for states to report each
quarter’s data within one month following the close of the quarter. The Department also will
1
The Department submitted an initial Notice in August 2016 and received several thousand
valuable comments. Based on those comments, the Department revised its approach and is submitting a
new Notice.
2
conduct its own open source review to identify deaths potentially covered by the DCRA. 2 After
the states submit their initial quarterly reports, the Department will notify each state of the results
of the Department’s open source review. If that open source review identifies any deaths not
reported in a state’s initial quarterly report, the state will have to report the required information
regarding those previously unreported deaths at the time it submits its next quarterly report (that
is, at one month following the close of the subsequent quarter), or indicate why the death does
not fall within the categories of reportable deaths under the DCRA. Thus, for deaths occurring
during the 2nd Quarter of a fiscal year, the state will submit its initial quarterly report by April
30. For any 2nd Quarter deaths identified by the Department’s open source review and that the
state did not include in its initial 2nd Quarter report, the state will report the required data by
July 31.
Considering the two notice-and-comment periods required by the PRA, the Department
anticipates that states will be asked to make their first DCRA reports by July 31, 2017, which
will include data pertaining to the 3rd Quarter of FY 2017. Data from the 4th Quarter of FY
2017 will be due October 31, 2017. Quarterly reporting for FY 2018 will continue thereafter.
For data pertaining to FY 2016 and the first two quarters of FY 2017, the Department will
identify potential reportable deaths via an open source review by May 31, 2017, and then follow
up with states to request that states provide the relevant information pertaining to each death by
November 30, 2017.
As explained in the subsection below regarding the Department’s compliance plans,
because the guidelines for reporting data pursuant to the DCRA will not be finalized before the
2nd Quarter of FY 2017, States’ reporting for FY 2016 and FY 2017 will not be subject to a
compliance determination. Additionally, reporting of FY 2016 and FY 2017 data pursuant to
DOJ’s new DCRA data collection guidelines will include only information on arrest-related
deaths 3—it will not include data on deaths occurring in prisons or jails. Data from 2016 and
2017 on deaths in prisons and jails will be collected via BJS’s existing jails and prisons data
collection program, that is, BJS’s Death in Custody Reporting Program, described in subsection
III.C., below. Beginning with data for FY 2018, all reportable deaths—including arrest-related
deaths and deaths occurring in prisons or jails—will be collected quarterly pursuant to the DCRA
data reporting guidelines. 4 Thus, state reporting will proceed according to the following
schedule.
2
The review of open information sources is the process of harvesting information related to such
events from publicly available information on the internet. This includes news or media outlets, official
agency documents and websites, and other publicly available information.
3
The term “arrest-related deaths,” as used herein, refers to deaths occurring outside the
institutional context during interactions with law enforcement personnel or while in their custody, as
opposed to deaths occurring in the prison or jail settings.
4
BJS’s existing Death in Custody Reporting Program collection of prisons and jails data is an
annual, calendar year collection. Thus, there will be a three-month overlap (from October through
December 2017) between the FY 2018 DCRA collection of prisons and jails data and BJS’s calendar year
2017 DCRP collection.
3
DCRA Data Reporting Schedule for States
2016 prison or jail deaths
To be collected pursuant to BJS’s existing DCRP, based on
the calendar year.
FY 2016 arrest-related deaths
To be collected through DOJ’s open source review and
follow up with states to obtain relevant information by
November 30, 2017.
2017 prison or jail deaths
To be collected pursuant to BJS’s existing DCRP, based on
the calendar year.
FY 2017, 1st and 2nd Quarter
arrest-related deaths
To be collected through DOJ’s open source review and
follow up with states to obtain relevant information by
November 30, 2017.
FY 2017, 3rd and 4th Quarter
arrest related deaths
To be collected pursuant to DOJ’s new DCRA reporting
guidelines. Data for 3rd Quarter FY 2017 will be due July
31. Data for 4th Quarter FY 2017 will be due October 31.
FY 2018 – all reportable data,
including arrest-related deaths
and deaths in prisons or jails
To be collected pursuant to DOJ’s new DCRA reporting
guidelines. Data for 1st Quarter FY 2018 will be due January
31, 2018.
State Data Collection Plans 5
Due at the beginning of each fiscal year, beginning FY 2018.
Plans for FY 2018 will be due October 1, 2017.
1. Compliance Plans for Collection of State Data
Under the DCRA, a state that fails to comply with the Act’s reporting requirements
“shall, at the discretion of the Attorney General, be subject to not more than a 10-percent
reduction of the funds that would otherwise be allocated for that fiscal year to the State under
[the Byrne JAG program].” 42 U.S.C. § 13727(c)(2).
The Department’s forthcoming proposed data collection plan will include a description of
the Department’s proposed plans for determining each state’s compliance and addressing non
compliance. The compliance plans will include the following principal features.
• Complete and timely reporting will be required. Consistent with the language and
structure of the Act, the Department will determine compliance based on whether
each state has timely reported all of the information that the Act requires. For
each fiscal year quarter, states will be required to report whether or not any deaths
covered by the Act have occurred in the arrest, jail, and prison contexts. If a
death has occurred, the state will be required to report all of the information
specified in the Act. If a state’s initial quarterly report does not include any death
identified by the Department’s independent open source review, the state will be
required to report all information related to that previously unreported death in the
state’s supplemental quarterly report. A state’s failure to timely submit any initial
5
See the following subsection of this Report, “Compliance Plans for Collection of State Data.”
4
or supplemental quarterly report, or any of the required information relating to
any individual death, will constitute a failure to comply with the Act.
• State data collection plans. Each state will be required to report to the
Department its plan for collecting and reporting DCRA data. Information on each
state’s data collection plan will aid the Department in assisting states that are
seeking to improve their collection plans, and help the Department evaluate the
reliability of all data collected. States will be required to report their plans at the
beginning of each fiscal year, beginning with Fiscal Year 2018. A state’s failure
to report its data collection plan will constitute a failure to comply with the Act.
• Compliance to be assessed on a fiscal year basis. The Department will assess
each state’s compliance for a fiscal year after the final quarterly reports for that
year have been collected. Under the forthcoming proposed data collection plan, a
state’s final report for a fiscal year will be due January 31 of the following year. 6
• Grace period for FY 2017. Due to the notice-and-comment periods required by
the PRA, discussed above, the Department’s data collection plans cannot be
finalized before the 2nd Quarter of FY 2017. Thereafter, states will need to
develop and implement their own data collection and reporting systems. For
these reasons, though the Department anticipates reporting to begin in FY 2017,
the Department will not reduce any state’s grant award for failure to comply with
the reporting requirements during FY 2017. States’ FY 2017 reporting will play
an important role, however, not only in collecting FY 2017 data, but in allowing
states to test their data collection and reporting processes, identify any necessary
improvements, and develop the data collection plans that they will use for FY
2018. As noted above, states will be required to report those plans at the
beginning of FY 2018.
• Addressing noncompliance. The Act does not require a state’s Byrne JAG award
to be reduced for the state’s failure to comply, but makes such an award reduction
subject to the discretion of the Attorney General. The Department proposes to
provide each noncomplying state the opportunity to dedicate up to 10% of its
Byrne JAG award for the following fiscal year to take measures necessary to
achieve compliance. Noncomplying states that refuse that opportunity will be
subject to a 10% reduction of their Byrne JAG award, which will be factored into
the calculation of each state’s award announced in the spring of each year. Thus,
in February 2019, for example, DOJ will determine whether each state has
complied with the DCRA requirements during FY 2018 reporting. States that
6
A state’s initial 4th Quarter data will be due one month after the close of the quarter, that is, on
October 31. The Department will then inform each state about the results of the Department’s open
source review, and each state will have to submit a supplemental report—with information related to any
previously unreported deaths—when the state’s initial report for the following quarter is due, that is, on
January 31.
5
refuse the opportunity to dedicate up to 10% of their forthcoming Byrne JAG
funding towards compliance efforts will be subject to a 10% reduction of the
Byrne JAG awards announced in the Spring of 2019. The total amount by which
the awards of noncomplying states are reduced will be reallocated among the
states that have complied with the Act.
C. Currently Available Information
The Department has been collecting and studying death-in-custody information—
including information on arrest-related deaths and deaths in prisons and jails—since 2001. The
DCRA enacted in December 2014 builds on the Death in Custody Reporting Act of 2000, Pub.
L. No. 106-297, 114 Stat. 1045 (codified in 42 U.S.C. § 13701 note & § 13704(a)(2)), which
required states to report information to the Attorney General on deaths occurring in the process
of arrest or while in the custody of prison or jail authorities. Id. In response to the 2000 law,
BJS created the Deaths in Custody Reporting Program (DCRP). 7 That program collected
information on deaths occurring in three different contexts: deaths in jails, deaths in prisons, and
arrest-related deaths.
BJS began its data collection on deaths in jails in 2000 and its collection on deaths in
prisons in 2001. Since then, BJS has annually collected data from 100% of the fifty state prison
systems and more than 94% of the country’s 2,870 jail jurisdictions, which represent 3,170 jail
facilities. 8 BJS collects the jails and prisons data on a calendar year basis. The DCRP remains
the only national statistical collection to obtain comprehensive information about deaths in adult
correctional facilities. 9 BJS uses DCRP data to track national trends in the number and causes
(or manners) of deaths occurring in state prison or local jail custody.
In conjunction with this Report to Congress, BJS has released its latest reports on
Mortality in Local Jails, 2000-2014 and Mortality in State Prisons, 2001-2014. The reports are
available on its website at www.bjs.gov. As related in those reports, 3,927 inmates died in state
(3,483) and federal (444) prisons in 2014, up slightly from 3,879 in 2013. These numbers are the
highest since the collection of inmate deaths in state and federal prisons began in 2001. Nearly
nine in ten (87%) deaths were illness-related, with cancer (30%) and heart disease (26%)
accounting for more than half. Almost all (96%) of the inmates who died in state prisons in 2014
were male. And more than half (55%) of the state prisoners who died in 2014 were nonHispanic white. 10 In local jails, 1,053 inmates died in 2014, up from 971 in 2013. This was the
largest number of jail inmate deaths reported by the DCRP since 2007. Suicide, the leading
cause of death in local jails, accounted for more than a third (35%) of deaths in local jails. The
jail suicide rate increased 8% between 2013 and 2014 to 50 suicides per 100,000 local jail
7
See Bureau of Justice Statistics, Data Collection: Deaths in Custody Reporting Program (DCRP),
http://www.bjs.gov/index.cfm?ty=dcdetail&iid=243.
8
Margaret Noonan, et al., Bureau of Justice Statistics, Mortality in Local Jails and State Prisons,
2000–2013 - Statistical Tables 29 (Aug. 2015), http://www.bjs.gov/content/pub/pdf/mljsp0013st.pdf.
9
Id.
10
Margaret Noonan, Bureau of Justice Statistics, Mortality in State Prisons, 2001-2014 – Statistical
Tables (Dec. 2016).
6
inmates. This is the highest suicide rate observed in local jails since the DCRP began in 2000.
More than a third (425 of 1,053) of inmate deaths in jails in 2014 occurred within the first 7 days
of admission. 11
Apart from its collection of data on deaths in prisons and jails, BJS initiated its ArrestRelated Deaths (ARD) data collection program in 2003. 12 The program relied on state reporting
coordinators in each of the 50 states and the District of Columbia to identify and report on all
eligible cases of arrest-related deaths. 13 BJS ultimately determined, however, that the data
collected did not meet BJS data quality standards as the program identified only about half of the
arrest-related deaths that occurred each year. 14 BJS therefore suspended the program in 2014. 15
BJS then tested a new methodology. Instead of relying solely on States to affirmatively submit
information on reportable arrest-related deaths, BJS piloted a mixed method, hybrid approach
that used open sources to identify eligible cases, followed by data requests to law enforcement,
medical examiners, and/or coroner offices for incident-specific information about the decedent
and circumstances surrounding the event. During the follow-up, BJS also would request
information on other arrest-related deaths that had not been identified through open sources. The
results of the redesigned “open source review” approach showed substantial improvements in
data coverage and quality.
In conjunction with this Report to Congress, BJS has released its report on its revised
ARD study. The BJS report, Arrest-Related Deaths Program Redesign Study, 2015-2016, is
available at www.bjs.gov. As that report indicates, media reviews and agency surveys together
identified a total of 425 arrest-related deaths that occurred during the test phase from June
through August 2015. Twelve percent of the 425 deaths during that test phase were reported by
agency respondents and not initially identified through media searches. Of all deaths occurring
in June, July, and August 2015, 64% were homicides, 18% were suicides, and 11% were
accidents. BJS continued to identify deaths using open source information after August 2015,
although those data were not subject to follow-up verification as were the June-August 2015
data. Based on deaths identified from the open source review from June 2015 through May
2016, and assuming an additional 12% identified by agencies (consistent with the percentage of
additional deaths identified by the agencies during BJS’s test phase), BJS estimates that
approximately 1,900 arrest-related deaths occurred during that period. 16
11
Margaret Noonan, Bureau of Justice Statistics, Mortality in Local Jails, 2000–2014 - Statistical
Tables (Dec. 2016).
12
See Bureau of Justice Statistics, Arrest-Related Deaths, http://www.bjs.gov/index.cfm?ty
=tp&tid=82.
13
See Michael Planty, et al., Bureau of Justice Statistics, Arrest-Related Deaths Program: Data
Quality Profile 5 n.5 (March 2015), http://www.bjs.gov/content/pub/pdf/ardpdqp.pdf.
14
See Bureau of Justice Statistics, Arrest-Related Deaths, supra note 12; Planty, et al., supra note
13, at 15, 17.
15
See Bureau of Justice Statistics, Arrest-Related Deaths, supra note 12.
16
Duren Banks, et al., Bureau of Justice Statistics, Arrest-Related Deaths Program Redesign Study,
2015-2016: Preliminary Findings 7-8 (Dec. 2016).
7
As noted above, BJS will collect 2016 and 2017 data on deaths in prisons and jails
pursuant to the DCRP. Once the Department’s mandatory collection of such data pursuant to the
DCRA begins with FY 2018, however, in order to minimize duplication of effort, BJS will
suspend its DCRP collection of data on arrest-related deaths and deaths in prisons and jails. The
Department will publicly release data collected pursuant to the DCRA, including the State plans,
the number of deaths reported for each agency and facility, and data on the circumstances
surrounding those deaths. The release will exclude personally identifiable information and will
be consistent with any applicable Department policies and federal laws, including federal privacy
laws. The data will also be available for Department use, consistent with the Department’s
missions, policies, and legal authorities.
IV.
Assessment of DCRA Reporting and Data Quality
The Department will assess FY 2017 and 2018 reporting and data quality to determine
whether the DCRA data reporting program is producing reliable data and what changes may be
necessary to improve data quality. The plan proposed by the Department blends the DCRA
statutory requirements with elements of other data collection efforts that have shown promise to
improve data quality, accuracy, and reliability. However, some significant challenges in
establishing a comprehensive, reliable data collection program already are apparent, and
legislative changes may be necessary.
Among the more significant challenges, the Act requires states to report information that
the states do not necessarily possess. In general, of the three kinds of deaths covered by the
Act—arrest-related deaths, deaths in jails, and deaths in prisons—states have firsthand
knowledge primarily of deaths in state prison systems; they will not be the best source of data for
deaths encountered by local law enforcement agencies or jails. BJS’s experience with its Death
in Custody Reporting Program, discussed above, has shown that where it collects the information
directly from the agencies that have it, from prisons and jails, it can achieve a reasonably
comprehensive and reliable data collection. But where BJS must go through states to collect
information that the states do not independently possess, as in BJS’s suspended Arrest-Related
Deaths program, the data quality is likely to suffer without significant proactive oversight by the
Department. 17
The possible shortcomings of a state-centered arrest-related deaths collection program
may be mitigated in a number of ways. First, implementation of the compliance determination
17
Please note that, unlike the Department’s collection of data pursuant to BJS’s DCRP, the
collection of data pursuant to the DCRA will be managed by the Department’s Bureau of Justice
Assistance (BJA). BJA administers the Byrne JAG Program and the compliance and penalty
determinations that program requires. BJS will not administer the DCRA collection because its
compliance is tied to the administration of the Byrne JAG Program, and BJS’s statistical directives make
clear that it “must function in an environment that is clearly separate and autonomous from the other
administrative, regulatory, law enforcement, or policy-making activities” of the Department. Office of
Management and Budget, Statistical Policy Directive No. 1: Fundamental Responsibilities of Federal
Statistical Agencies and Recognized Statistical Units, 79 Fed. Reg. 71610, 71615 (Dec. 2, 2014).
8
and possible assessment of penalties on noncompliant states may have the effect of increasing
reporting quality, as Congress has envisioned.
Second, the Department will use an independent open source review to identify deaths
that states may miss in their initial quarterly reporting. Though promising in the short term,
however, the Department’s use of an open source review to independently identify deaths is not a
sustainable long term solution. The cost of conducting the quarterly open source review and the
follow up with the states—and, indeed, for administering the DCRA data collection program as a
whole—will be significant. The open source review is effective at identifying almost only
arrest-related deaths and misses the majority of deaths that occur in jails and prisons.
Additionally, there are data-quality limitations inherent in an open source review. BJS has
found, for example, that the media sources reviewed often cover only “newsworthy” deaths and
higher profile cases; there may be considerable regional and local variation in media coverage
for arrest-related deaths; information on web-based news platforms may be available for a
limited time; and, most importantly, the quality of information from open sources is unknown
and is likely to vary over time, by source, and in comparison to official records. 18 Some of these
shortcomings can be addressed as states follow up with the law enforcement agencies involved in
the deaths identified by the open source review, but that follow-up will not identify deaths that
the open source did not discover and that involved different law enforcement agencies.
Finally, reliable data likely can be obtained through affirmative efforts by states to
implement a comprehensive state data collection plan to reach out to and coordinate with the
local authorities in possession of the data. However, these affirmative efforts may require
concerted, sustained outreach, new data management and reporting systems, and significant
resource investment by states.
Cost presents significant challenges in other ways as well. The federal government must
be mindful that any collection of information from local law enforcement or detention
authorities, whether by the states or the federal government, will impose some burden on the
local authorities to collect and report the data. The federal government already asks state and
local law enforcement to report crime data through the Uniform Crime Reporting program
administered by the Federal Bureau of Investigation (FBI). The FBI, with the support and
cooperation of state, local, and tribal law enforcement partners, also is establishing the National
Use of Force Data Collection program, which will ask federal, state, local, and tribal law
enforcement agencies to report information on law enforcement uses of force. The Department
will examine ways to improve the data quality of these collections and reduce the associated
reporting burdens on state and local authorities. In doing so, the Department will look not only
to reduce duplicative reporting, but to examine what infrastructure improvements, such as new
records management systems, will be needed by states and local authorities to efficiently collect
and report the data.
18
Duren Banks, et al., RTI International, Arrest-Related Deaths Program Assessment, Technical
Report 34 (Mar. 2015), http://www.bjs.gov/content/pub/pdf/ardpatr.pdf.
9
V.
Study of Data Collected
A. Status of DCRA Study
The Act requires the Department of Justice to conduct a study of data collected and to
report on that study by December 18, 2016. The first period for which the Act requires
collection is FY 2016, see 42 U.S.C. § 13727(a), which ended September 30, 2016. The
Department has not yet collected all FY 2016 data. Section III of this Report addresses the
methods and timetables for collecting FY 2016, FY 2017, and FY 2018 data, and the study will
be conducted once the data are available.
B. Parameters of the Study
The Department intends to hire an external consultant or team of consultants with
appropriate expertise, such as expertise in statistical methods, criminal justice policing practices,
institutional corrections, emergency and long-term medical care, and mental health care, to
analyze the data collected. Using an external consultant is preferable because of the unique
combination of skills this study requires and to avoid a potential conflict of interest that could
arise from analyzing data and making recommendations concerning federal law enforcement
agencies. While the consultant shall have discretion in determining precisely how to execute the
study, the Department will provide specific direction on aspects of the study required by the Act.
For part (A) of the study, the Act requires the Department to determine the means by
which the data collected can be used to reduce the number of in-custody deaths. 42 U.S.C.
§ 13727(f)(1). The Department will confer with the consultant on the best means of addressing
this question, bearing in mind the differences among the different categories of agencies (law
enforcement agencies, jails, and prisons) and within each category of agency. 19 The consultant
will assess the number of deaths and the causes of death by agency, compare the number of
deaths among agencies with similar characteristics, and identify agencies that substantially
deviated from the norm both in quantity and cause of death. The consultant also will determine
the most common manners and causes of death and develop specific recommendations for how
to reduce such deaths, with such recommendations addressing necessary policies, procedures,
staffing levels, officer training, supervision, accountability measures, and the provision of timely
medical and mental health care, among other recommendations. The consultant will consider all
relevant available information, including best practices from industry experts, provisions of
settlement agreements aimed at reducing the number of in-custody deaths, recommendations
from professional law enforcement organizations and community advocates, and other relevant
research materials.
For part (B) of the study, the Act requires the Department to examine the relationship
between the number of deaths and the actions of management of such jails, prisons, and other
specified facilities relating to such deaths. 42 U.S.C. § 13727(f)(1). The data the Department is
19
Relevant factors will include agency size, the various characteristics of the community served, the
local crime rate, the criminal history of the decedent, and others. These factors will vary in examining law
enforcement agencies, prisons, or jails.
10
authorized to collect under the Act does not, however, include information about management
practices. The consultant will need to collect data and other relevant information from criminal
justice agencies to obtain more information about their managerial practices, in addition to
consulting other available and relevant information. The consultant will focus on comparing the
managerial practices of similar agencies where the number of deaths deviates significantly from
the norm.
Although Congress has authorized the Department to collect data on deaths in custody for
the foreseeable future, the Act requires the Attorney General to carry out a study of the data and
submit a report that contains the findings of the study only once. See 42 U.S.C. § 13727(f).
Because the Department believes there is significant merit in studying the trends of in-custody
deaths over time, the Department intends to conduct this study periodically and to submit
subsequent reports to Congress. This study and any study thereafter will require funding to
obtain a consultant or team of consultants with the requisite expertise to review and analyze the
data and draft a report of recommendations. Once the Department has examined the funding
necessary to complete the study, the Department will work with Congress to ensure that the
study can be completed.
Conclusion
The DCRA represents an important step in the collection of information that is of
tremendous value to all stakeholders in the criminal justice system. The Department has made
significant progress in developing a collection method that is consistent with the statute, while
sensitive to the costs and challenges that collecting and reporting the data will entail for states
and for the Department. The Department looks forward to partnering with states, law
enforcement, community groups, and other stakeholders as we continue to implement the DCRA
data collection program. To that end, the Department encourages public comment and feedback
on the data collection guidelines published this month in the Federal Register Notice and will
closely review those comments and feedback in developing the Department’s final data
collection plans.
11
Appendix F
BJS Data Protection Guidelines
U.S. Department of Justice
Office of Justice Programs
Bureau of Justice Statistics
Washington, D.C. 20531
BUREAU OF JUSTICE STATISTICS
DATA PROTECTION GUIDELINES
OVERVIEW
The Bureau of Justice Statistics (BJS) is a federal statistical agency 1 and the nation’s primary
source for criminal justice data. 2 BJS is a component of the Office of Justice Programs (OJP) in
the U.S. Department of Justice (DOJ). BJS’s mission is to collect, analyze, publish, and
disseminate statistical information on crime, criminal offenders, victims of crime, and the
operation of justice systems at all levels of government. These data are critical to federal, state,
and local policymakers in combating crime and ensuring that justice is both efficient and
evenhanded.
The BJS Data Protection Guidelines, developed in coordination with OJP’s Office of the General
Counsel and Office of the Chief Information Officer, are intended to provide a summary of the
many federal statutes, regulations, and other authorities that govern BJS. 3 As discussed in greater
detail below, the guidelines require BJS to: adhere to strict confidentiality requirements
regarding data collected at BJS’s direction; ensure that the collected data be used only for
statistical purposes; commit to wide dissemination of BJS data for public benefit; and strive to
maximize the utility, objectivity, and integrity of the information BJS disseminates and archives
for public use.
I.
DATA PROTECTIONS IN FEDERAL STATUTES
Pursuant to its statutory responsibilities, BJS must maintain the confidentiality of all personally
identifiable information it collects. Specifically, in accordance with BJS’s authorizing statute, the
Director of BJS “shall be responsible for the integrity of data and statistics and shall protect
against improper or illegal use or disclosure.” 34 U.S.C. § 10132(b).
1
The Office of Management and Budget (OMB) recognizes BJS as one of thirteen principal federal statistical
agencies that have statistical work as their principal mission.
2
For the purpose of this document, “information” and “data” are used synonymously.
3
This document is intended to provide a general overview of the statutory, regulatory, and policy framework under
which the employees and contractors of BJS operate. Nothing herein is intended to, or does, create any rights,
substantive or procedural, enforceable at law by any party in any matter civil or criminal. Any specific questions
regarding the application of these statutes, regulations, policies, and guidelines should be addressed in writing to
BJS directly. The BJS Data Protection Guidelines will be updated to reflect changes to current or newly
implemented statutes, regulations, and other authorities and the most current version will be available on the BJS
website - https://www.bjs.gov/content/pub/pdf/BJS_Data_Protection_Guidelines.pdf.
1
Further, under 34 U.S.C. § 10231(a), no officer or employee of the federal government,
including BJS employees or its data collection agents, 4 may use or reveal any research or
statistical information furnished in connection with a BJS data collection, including data
identifiable to any specific private person, by any person for any purpose other than the purpose
for which it was furnished.
Additionally, under that statute, statistical information provided to BJS that is identifiable to a
private person is immune from legal process, and may not, without the consent of the person
furnishing such information, be admitted as evidence or be used for any purpose in any action,
suit, or other judicial, legislative, or administrative proceedings. Any person violating these
confidentiality provisions may be punished by a fine not to exceed $10,000 in addition to any
other penalty imposed by law.
Further confidentiality protections for statistical data are contained in 18 U.S.C § 1905.
Penalties for violating this statue include mandatory termination from employment, as well as a
fine, term of imprisonment of not more than one year, or both.
II.
DATA USE RESTRICTIONS IN FEDERAL STATUTES AND REGULATIONS
BJS operates under a statute which specifically states that it may only use the data it collects for
statistical or research purposes. Title 34 U.S.C. § 10134, states that “[d]ata collected by the
Bureau shall be used only for statistical or research purposes, and shall be gathered in a manner
that precludes their use for law enforcement or any purpose relating to a private person 5 or public
agency other than statistical or research purposes.” The term “statistical purpose,” as defined in
Section 502(9)(A) of the E-Government Act of 2002, means “the description, estimation, or
analysis of the characteristics of groups, without identifying the individuals or organizations that
comprise such groups.” 6 Statistical purposes exclude “any administrative, regulatory, law
enforcement, adjudicatory, or other purpose that affects the rights, privileges, or benefits of a
particular identifiable respondent.” Id. at 502(5)(A).
All BJS data collection agents working with identifiable information collected or maintained at
BJS’s direction are required to comply with all confidentiality requirements of 34 U.S.C. §
10231, the privacy certification requirements of 28 C.F.R. § 22.23, and the requirement to
destroy identifiable data as set forth in 28 C.F.R. § 22.25.
4
For the purpose of these guidelines, the term “data collection agent” refers to an individual who works under BJS’s
authority through a cooperative agreement, grant, contract, subaward, or subcontract to perform exclusively research
or statistical activities (e.g., collecting, receiving, handling, maintaining, transferring, processing, storing, or
disseminating data).
5
The term “private person” means “any individual (including an individual acting in his official capacity) and any
private partnership, corporation, association, organization, or entity (or any combination thereof)." 34 U.S.C. §
10251(a)(27).
6
Section V of the E-Government Act of 2002 is also known as the “Confidential Information Protection and
Statistical Efficiency Act of 2002,” (CIPSEA). See, 44 U.S.C. § 3501 note.
2
III.
FOIA REQUESTS AND FEDERAL CONFIDENTIALITY PROTECTIONS
BJS data collections also have protections under a broader federal statute that affects the
confidentiality of information in the Privacy Act of 1974 and the Freedom of Information Act
(FOIA), 5 U.S.C. § 552. Although FOIA is generally cited as establishing the public’s right of
access to federal records and information, there are nine established FOIA exemptions which
permit executive branch agencies to withhold certain types of information from release. For
example, one such exemption may allow BJS to withhold information when public release would
reveal information accusing a person of a crime. 7 Another example may allow BJS to refuse to
disclose information if the information sought would “disclose investigatory records compiled
for law enforcement purposes, or if the disclosure might have similar implications.” 8
IV. FEDERAL REGULATIONS ON THE CONFIDENTIALITY OF IDENTIFIABLE
DATA
Data collected by BJS and BJS data collection agents are maintained under the confidentiality
provisions outlined in 28 C.F.R. Part 22. 9 Relevant provisions include −
•
Data identifiable to a private person may be used or revealed only for research or statistical
purposes, or where prior consent is obtained from an individual
•
Identifiable information will be used or revealed only to employees on a need-to-know basis,
and only if the recipient is legally bound to use it solely for research and statistical purposes
and to take adequate administrative and physical precautions to ensure confidentiality
•
BJS award recipients are required by federal law, as a condition of funding, to submit a
Privacy Certificate that describes the precautions in place to adequately safeguard the
administrative and physical security of identifiable data, as applicable
•
Individuals, including BJS data collection agents, with access to data on a need-to-know
basis are advised in writing of the confidentiality requirements and must certify in writing to
abide by these requirements.
V.
INFORMATION SYSTEM SECURITY AND PRIVACY REQUIREMENTS
BJS/OJP maintains a robust IT security program in compliance with the DOJ Cybersecurity
7
5 U.S.C. § 552b(b)(5).
5 U.S.C. § 552b(b)(7).
9
While the confidentiality provisions of Part 22 discussed herein are extensive, these regulations do not apply to any
records from which identifiable research or statistical information was originally obtained; or to any records which
are designated under existing statutes as public; or to any information extracted from any records designated as
public.
8
3
Program 10 and the DOJ IT Security Rules of Behavior (ROB) for General Users 11 to facilitate the
privacy, security, confidentiality, integrity, and availability of BJS/OJP’s computer systems,
networks, and data in accordance with applicable federal and Department policies, procedures,
and guidelines. BJS award recipients are similarly required to maintain the appropriate
administrative, physical, and technical safeguards to protect identifiable data and ensure that
information systems are adequately secured and protected against unauthorized disclosure.
Specifically, BJS and its award recipients are required to, where applicable −
•
Assess and secure information systems in accordance with the Federal Information Security
Modernization Act (FISMA), which appears as Title III of the E-Government Act of 2002
(Pub. L. No. 107-347)
•
Adhere to National Institute of Standards and Technology (NIST) guidelines to categorize
the sensitivity of all information collected or maintained on behalf of BJS
•
Once the system has been categorized, secure data in accordance with the Risk Management
Framework specified in NIST SP 800-37 rev. 1
•
Employ adequate controls to ensure data are not comingled with any other dataset or product
without the express written consent of BJS (applicable to BJS data collection agents)
•
Reduce the volume of personally identifiable information collected, used, or retained to the
minimum necessary
•
Limit access to identifiable data to only those individuals who must have such access,
including requisite IT security administrators
•
Limit the use of identifiable data to only the purposes for which its use was approved
•
Ensure all cooperative agreements and contracts involving the processing and storage of
personally identifiable information comply with DOJ policies on remote access and security
incident reporting
•
Employ formal sanctions for anyone failing to comply with DOJ policies and procedures, in
accordance with applicable laws and regulations
10
The provisions of DOJ Order 0904, Cybersecurity Program, apply to all DOJ components, personnel, and IT
systems used to process, store, or transmit Departmental information, as well as to contractors and other users of IT
systems supporting the operations and assets of DOJ. The provisions discussed herein provide a summary of DOJ’s
information technology security requirements and policies.
11
The DOJ IT Security ROB for General Users apply to all DOJ components, personnel, and contractors and pertain
to the use, security, and acceptable level of risk for DOJ systems and applications. The provisions discussed herein
provide an overview of DOJ’s information technology security requirements and policies. For a more extensive
description of specific DOJ policies, requirements, roles, and responsibilities, consult the DOJ IT Security ROB for
General Users in full.
4
•
Complete data security and confidentiality trainings.
All on-site BJS data are stored in a secure building in Washington, D.C. which houses only OJP
(including BJS) and is staffed by armed guards 24 hours a day, 7 days a week. Federal
employees and contractors must pass through an electronic badge swipe to verify their identity,
and non-federal visitors must be sponsored by DOJ employees, pass through a metal detector,
record information in a central log book, and wear a visitor's badge. Onsite servers containing
BJS data are stored in a locked room with access limited only to OJP IT personnel, and require a
badge swipe to enter. Data stored on CD-ROMs reside in a locked office with limited key access
to authorized individuals, and all data use in this room is logged.
Technical control of BJS data is maintained through a system of firewalls and encryption. OJP
employs an Intrusion Detection System at the perimeter of the network to supplement its
defense-in-depth approach to security. BJS maintains data on a secure hard drive behind the
DOJ firewall, and the data are encrypted to meet Federal Information Process Standard (FIPS)
Publication 140-2 requirements. Access to this drive and its files require username and password
verification. Access to individual files is restricted to the BJS statisticians who work on the
project, their direct supervisors, and the requisite OJP IT security administrators.
Furthermore, OJP is required to periodically assess its security controls to determine their
effectiveness, monitor and correct deficiencies, reduce or eliminate vulnerabilities in IT systems,
and monitor IT system security controls.
BJS award recipients must employ similar administrative, physical, and technical controls to
adequately secure their FISMA-defined information systems from unauthorized disclosure. OJP
also reserves the right to audit during the project period any FISMA-defined information system
used by BJS data collection agents to collect, receive, handle, maintain, transfer, process, store,
or disseminate data products in support of the project to assess compliance with federal laws and
regulations related to data management and security.
The Cybersecurity Enhancement Act of 2015 (codified in relevant part at 6 U.S.C. §
151) requires the Department of Homeland Security (DHS) to provide cybersecurity protection
for federal civilian agency information technology systems and to conduct cybersecurity
screening of the Internet traffic going in and out of these systems to look for viruses, malware,
and other cybersecurity threats. DHS has implemented this requirement by instituting procedures
such that, if a potentially malicious malware signature were found, the Internet packets that
contain the malware signature would be further inspected, pursuant to any required legal process,
to identify and mitigate the cybersecurity threat. In accordance with the Act’s provisions, DHS
conducts these cybersecurity screening activities solely to protect federal information and
information systems from cybersecurity risks. To comply with the Act’s requirements and to
increase the protection of information from cybersecurity threats, OJP facilitates, through the
DOJ Trusted Internet Connection and DHS’s EINSTEIN 3A system, the inspection of all
information transmitted to and from OJP systems including, but not limited to, respondent data
collected and maintained at BJS’s direction.
5
VI.
DISSEMINATION OF DATA
The BJS authorizing statute reads, in relevant part, that BJS is authorized to “provide information
to the President, the Congress, the judiciary, state, tribal, and local governments, and the general
public on justice statistics.” 12 A robust dissemination program is essential to the execution of this
statutory mandate. BJS uses its website for data dissemination, including public access to data
releases of aggregate statistics in the form of updated time series, cross-tabulations of aggregated
characteristics of respondents, analytic reports, briefs of key findings, and technical reports.
Aggregated data are typically made available in spreadsheet format and through online tabulation
tools. 13
All micro (raw) data published under BJS’s authority and the related study documentation are
made available to external parties at the University of Michigan’s National Archive of Criminal
Justice Data (NACJD) for statistical and research purposes, though the level and format of access
depends on the type of data being requested (see Section VII).
BJS follows established information dissemination practices, including those outlined in OMB’s
Guidelines for Ensuring and Maximizing the Quality, Objectivity, Utility, and Integrity of
Information Disseminated by Federal Agencies 14 as well as those outlined in BJS’s Data Quality
Guidelines.
BJS also adheres to OMB’s Statistical Policy Directive No. 4, Release and Dissemination of
Statistical Products Produced by Federal Statistical Agencies, and standards on dissemination of
information products set forth in OMB’s Statistical Policy Directive No. 2, Standards and
Guidelines for Statistical Surveys.
VII. DATA ARCHIVAL PRACTICES
To encourage and support the facilitation of research in the field of criminal justice, BJS archives
data at the NACJD. To the extent practical, BJS removes, masks, or collapses direct and indirect
identifiers prior to sending data to NACJD to protect respondent confidentiality. In consultation
with BJS, NACJD takes additional precautions to mitigate compromising the confidentiality of
data, including conducting a comprehensive disclosure risk review to determine the appropriate
level of security that should be applied to the data. In addition to the NACJD disclosure risk
review, BJS may also request to suppress additional variables due to the sensitive nature of the
data and/or to further protect confidentiality, if appropriate. Data that do not contain personally
identifiable information are available for public access download. Prior to public release,
NACJD routinely checks all data collections for conditions that could violate the confidentiality
of data. NACJD protects respondent confidentiality by removing, masking, blanking, or
collapsing direct or indirect variables and records within public-use versions of the dataset.
12
34 U.S.C. § 10132(c)(10).
Some older publications that are not machine readable may only be available on the BJS website via scanned pdf
files.
14
67 Fed. Reg. 8,452 (February 22, 2002).
13
6
NACJD applies stringent security to restricted data where some risk of respondents’ identity
disclosure remains (e.g., variables used in conjunction with one another or linking to other data
files) and provides four access options for these types of data: restricted access; physical data
enclave; online analysis; virtual data enclave. 15 Prospective users of such data must follow
NACJD’s application and approval processes, including the submission of a research proposal
and additional measures as required such as IRB approval or waiver, information about users of
the data, a restricted data use agreement, and a data security plan. Additionally, users of data in
the physical enclave must travel to the University of Michigan to analyze data on a NACJD
computer in a secure room without internet and printer capabilities, and output is screened to
ensure results are aggregated to a level that prevents individual identification.
BJS datasets stored at OJP and archived at the NACJD are periodically audited to determine if
their security profiles have changed and protections need to be updated based on changes in
policy, updates to OJP systems, or the availability of other linked data.
VIII. DATA DESTRUCTION PRACTICES
BJS and its data collection agents follow federal regulations requiring the destruction of data
containing identifiable information. 16 Where applicable, BJS complies with all federal
government data destruction guidelines regarding the technical and physical wiping of data from
servers and destruction of existing CD-ROMs or paper documents. BJS data collection agents
are required to return or completely destroy any identifiable data collected on behalf of BJS upon
delivery of the data to BJS and project completion.
IX.
INCIDENT RESPONSE PROCEDURES
DOJ has established incident response plans and notification procedures in the event of an actual
or suspected data breach involving known loss of sensitive data and/or loss of any devices
containing these data. These procedures apply to all BJS employees and its data collection
agents, and all personally identifiable information PII regardless of format (e.g., paper,
electronic, etc.).
In the event of a real or suspected data security incident by BJS or its data collection agents, BJS
shall be required to −
•
Notify, within one hour of discovery, the Justice Security Operations Center (JSOC) and
appropriate DOJ officials. 17 The JSOC shall then report confirmed major incidents within
one hour to the United States Computer Emergency Readiness Team (US-CERT)
15
The NACJD website provides specific details about its processes and requirements related to receiving and
handling restricted data, including types of access and application requirements.
16
28 C.F.R. § 22.25.
17
BJS contractors would be required to notify BJS within one hour of any security incidents that impact the FISMAdefined information systems that are used to collect, receive, handle, maintain, transfer, process, store, or
disseminate data products in support of the project, including data files, reports, or working papers.
7
•
Provide DOJ forensics and law enforcement personnel, including the DOJ Inspector
General, access to media and devices required for investigation, as appropriate
•
Assist with digital forensic and other investigations on electronic devices and/or
associated media, as required
•
Record the handling and transfer of media and devices to support forensic and other
investigations.
In addition to establishing internal and external notification processes, the DOJ incident response
procedures outline steps that BJS and its data collection agents can take to mitigate the potential risk
from loss of personally identifiable information and actions individuals can routinely take to mitigate
their risk. In the event of an incident by BJS involving such information, BJS may consult with the
DOJ Core Management Team in developing appropriate mitigation options, including assessing the
need to provide two additional measures of protection: an analysis to determine whether a particular
data loss appears to be resulting in identify theft; and the provision of credit monitoring services to
those impacted by the data incident.
The DOJ incident response procedures follow the requirements set forth in applicable federal
statutes, policies, and regulations and DOJ orders, including: DOJ Order 0904, Cybersecurity
Program; DOJ Order 2880.1C, Information Resources Management Program; DOJ Order
0900.00.01, Incident Response Procedures for Data Breaches; and OMB Memorandum M-0716 Safeguarding Against and Responding to the Breach of Personally Identifiable Information.
These procedures supplement the security and privacy requirements contained in the: DOJ
Security Program Operating Manual; the DOJ Computer System Incident Response Plan; the
Privacy Act of 1974; DOJ Order 3011.1A, Compliance with the Privacy Requirements of the
Privacy Act, the E-Government Act of 2002; and the FISMA. DOJ is currently working to
implement the requirements of OMB Memorandum M-17-12, Preparing for and Responding to
a Breach of Personally Identifiable Information.
X.
INDEMNIFICATION
Any person who unlawfully discloses personally identifiable information collected or maintained
under BJS’s authority shall be in violation of, and punished under the provisions of, the
confidentiality statutes referenced above in Section I. “Data Protections in Federal Statutes.”
BJS will not agree to insure, defend, or indemnify the data provider. BJS will, consistent with
DOJ authorities, cooperate with the other party in the investigation and resolution of
administrative claims and/or litigation arising from conduct related to the provisions of the
separate data use agreement.
XI.
BJS STATISTICAL STANDARDS AND PRACTICES
Among BJS’s fundamental responsibilities as a statistical agency is its duty to protect the trust of
information providers by ensuring the confidentiality and exclusive statistical use of their
8
responses. 18 As the nation’s premier source of reliable criminal justice data, BJS is committed to
employing robust data security protocols and data stewardship practices to protect the privacy
and confidentiality of the data collected and maintained.
To uphold public trust in the integrity of the data and ensure continued cooperation from data
providers, BJS adheres to a set of statistical principles and practices 19 that guide its mission to
compile, analyze, and disseminate information on crime, criminal offenders, victims of crime,
and the operation of justice systems at all levels of government, including the −
•
Commitment to quality and professional standards of practice
•
Timely and wide dissemination of data
•
Transparency about the sources of data and their limitations
•
Coordination and cooperation with other statistical agencies
•
Cooperation with data users
•
Fair treatment of individuals, businesses, and institutions providing the data.
XI.
BJS DATA QUALITY GUIDELINES
BJS has implemented and published the BJS Data Quality Guidelines that govern all justice data
that BJS produces and disseminates for the general public in accordance with the provisions of
the DOJ Information Quality Guidelines and OMB government-wide guidance for information
dissemination, including the Paperwork Reduction Act (44 U.S.C. § 3501 et seq.). The BJS Data
Quality Guidelines apply to a wide variety of substantive information and dissemination
activities and topics, including −
•
Privacy and maintaining confidentiality of data
•
Initiating surveys, censuses, and other data collections
•
Survey design and data collections
•
Data transparency, analysis, and processing
•
Content and verification of BJS data
18
See, also, OMB M-15-03 Statistical Policy Directive No. 1: Fundamental Responsibilities of Federal Statistical
Agencies and Recognized Statistical Units.
19
The BJS Statistical Principles and Practices were informed by Principles and Practices for a Federal Statistical
Agency, 5th edition, National Research Council (2013), issued by the National Research Council of the National
Academy of Sciences, which has guided managerial and technical decisions made by national and international
statistical agencies for decades.
9
•
Dissemination.
The BJS Data Quality Guidelines were established to ensure and maximize the utility,
objectivity, and integrity of the information BJS disseminates and to provide a framework under
which BJS will provide persons an opportunity to seek and obtain correction of information
maintained and disseminated by BJS that does not comply with these guidelines.
Issue Date: May 20, 2016
Updated: April 26, 2018
10
Appendix G
Bibliography of MCI use in academic publications
Abbiati, M., Palix, J., Gasser, J., & Moulin, V. (2018). Predicting physically violent misconduct
in prison: A comparison of four risk assessment instruments. Behavioral sciences & the
law.
Arnold, A. E. (2016). Putting Louisiana Prisons on Notice: A Call for Death Notification to
Next-of-Kin in the Event of an Inmate's Death. Loy. L. Rev., 62, 79.
Binswanger, I. A., Morenoff, J. D., Chilcote, C. A., & Harding, D. J. (2017). Ascertainment of
vital status among people with criminal justice involvement using Department of
Corrections records, the US National Death Index, and Social Security Master Death
Files. American journal of epidemiology, 185(10), 982-985.
Brave, M., & Ross, D. L. (2017). Vital Statistics and Arrest-Related Deaths. In Guidelines for
Investigating Officer-Involved Shootings, Arrest-Related Deaths, and Deaths in Custody
(pp. 33-54). Routledge.
Carson, E. A., & Sabol, W. J. (2016). Aging of the state prison population. Bureau of Justice
Statistics, US Department of Justice. Retrieved from http://www. bjs. gov/index. cfm.
Clifford, R., & Sullivan, R. (2017). The criminal population in New England: records,
convictions, and barriers to employment. New England Public Policy Center Policy
Reports, 17-1, Federal Reserve Bank of Boston,
https://www.bostonfed.org/publications/new-england-public-policy-center-policyreport/2017/the-criminal-population-in-new-england-records-convictions-and-barriers-toemployment.aspx.
Davis, Lois M. (2016). Responding to Fiscal Challenges in State Correctional Systems: A
National Study of Prison Closings and Alternative Strategies. RAND Corporation on
behalf of National Institute of Justice.
Dobrin, A. (2016). Public Health Data. In Homicide Data Sources (pp. 19-27). Springer, Cham.
Gutierrez, A. (2018). Deaths in custody in California (Doctoral dissertation).
Kaeble, D., Cowhig, M. (2018). Correctional Populations in the United States, 2016. Bureau of
Justice Statistics, http://www.bjs.gov/index.cfm?ty=pbdetail&iid=6226.
Kaeble, D., Glaze, L. (2016). Correctional Populations in the United States, 2015. Bureau of
Justice Statistics, http://www.bjs.gov/index.cfm?ty=pbdetail&iid=5870.
Kang-Brown, J., Hinds, O., Heiss, J., & Lu, O. (2018). The New Dynamics of Mass
Incarceration. Vera Institute report, http://www.safetyandjusticechallenge.org/wpcontent/uploads/2018/06/the-new-dynamics-of-mass-incarceration-report.pdf.
Luallen, J., & Corry, N. (2017). On the Prevalence of Veteran Deaths in State Prisons. Criminal
Justice Policy Review, 28(4), 394-411.
Lyneham, M., Chan, A., Willis, M., & McDonald, H. (2016). Prisoner-on-prisoner homicides in
Australia: 1980 to 2011. Trends & Issues in Crime & Criminal Justice, (517).
Magun, K. (2016). A changing landscape for pretrial detainees? The potential impact of Kingsley
v Hendrickson on jail suicide litigation. Columbia Law Review, 2059-2101.
Noonan, M. E. (2016). Mortality in local jails, 2000–2014–Statistical tables. Washington, DC:
US Department of Justice, Bureau of Justice Statistics Retrieved January, 3, 2017.
Noonan, M. E., & Bureau of Justice Statistics (BJS). (2016). Mortality in State Prisons, 20012014—Statistical Tables. Bureau of Justice Statistics.
1
Noonan, M., Binswanger, I. A., Blatchford, P. J., Smiley-McDonald, H., & Ellis, C. Linking
Deaths in Custody Reporting Program (DCRP) and National Death Index (NDI) data:
Assessing Cause of Death (COD) Data Reported to the DCRP. Proceedings of the 2015
Federal Committee on Statistical Methodology research conference.
Parks, E. A. (2017). Elderly and Incarcerated: Preventing the Medical Deaths of Older People in
Texas Prisons. Tex. J. on CL & CR, 23, 145.
Pazart, L., Godard-Marceau, A., Chassagne, A., Vivot-Pugin, A., Cretin, E., Amzallag, E., &
Aubry, R. (2018). Prevalence and characteristics of prisoners requiring end-of-life care:
A prospective national survey. Palliative Medicine, 32(1), 6-16.
Russo, J., Woods, D., Shaffer, J. S., & Jackson, B. A. (2017). Caring for Those in Custody:
Identifying High-Priority Needs to Reduce Morality in Correctional Facilities. Rand
Research Report, https://www.rand.org/pubs/research_reports/RR1967.html
Stoliker, B. E. (2018). Attempted Suicide: A Multilevel Examination of Inmate Characteristics
and Prison Context. Criminal Justice and Behavior, 45(5), 589-611.
Thomas, A. L., Scott, J., & Mellow, J. (2018). The validity of open-source data when assessing
jail suicides. Health & Justice, 6(1), 11.
Webb, L. (2018). Slave Narratives and the Sentencing Court. NYU Rev. L. & Soc. Change, 42,
125.
Wildeman, C., Carson, E. A., Golinelli, D., Noonan, M. E., & Emanuel, N. (2016). Mortality
among white, black, and Hispanic male and female state prisoners, 2001–2009. SSMPopulation Health, 2, 10-13.
Wildeman, C., Noonan, M. E., Golinelli, D., Carson, E. A., & Emanuel, N. (2016). State-level
variation in the imprisonment-mortality relationship, 2001–2010. Demographic research,
34, 359-372.
Wiseman, S. R. (2017). The Criminal Justice Black Box. Ohio St LJ, 78, 349.
Zeng, Z. (2018). Jail inmates in 2016. Bureau of Justice Statistics, NCJ 251210.
Zeng, Z., Noonan, M., Carson, E. A., Binswanger, I., Blatchford, P., Smiley-McDonald, H.
(2016). Assessing inmate cause of death: Deaths in custody reporting program and
National Death Index. Bureau of Justice Statistics, NCJ 249568.
2
Appendix H
Screenshots of 2017 MCI web data collection tool
Landing and Login Screens
Logged-in Landing Page
Data Supplier Data Response Page
Annual Summary Form (CJ-9A) Instructions Page 1
Annual Summary Form (CJ-9A) Instructions Page 2
Annual Summary Form (CJ-9A) Response Page (example 1)
Annual Summary Form (CJ-9A) Response Page (example 2)
Annual Summary Form (CJ-9A) Response Page (example 3)
Annual Summary Form (NPS-4) Response Page (example 1)
Death Report Form (NPS-4A) Instructions Page
Death Report Form (NPS-4A) Response Page
Death Report Form (CJ-9) Instruction Page
Death Report Form (CJ-9) Response Page
Appendix I
MCI frequently asked questions fact sheet
FAQ for local jails
FAQ for State Departments of Corrections
Appendix J
60-day FRN comment from CURE
From:
To:
Subject:
Date:
Charlie Sullivan
Cowhig, Mary (OJP)
Re: Deaths in Custody comment
Wednesday, September 26, 2018 8:44:17 AM
Ms. Cowhig, thank you for allowing me to email my comment to you. I think the reporting of
deaths in custody should be broaden to include those who are under CRIPA (Civil Rights of
Institutionalized Persons Act). CRIPA is a United States Federal law intended to protect the
rights of people in state and local correctional facilities, nursing homes, mental health facilities
and institutions for people with intellectual and developmental disabilities.
CRIPA is enforced by the Special Litigation Section in the United States Department of
Justice Civil Rights Division. Deaths in Custody then would be an indicator for CRIPA
investigation.
Charles Sullivan, President, International CURE, POB 2310, Washington, DC 20013
On Fri, Sep 14, 2018 at 8:08 AM Cowhig, Mary (OJP) wrote:
Hi,
Yes, sending your comments through email directly to me is fine.
Thanks,
Mary
Mary Cowhig
Statistician, Bureau of Justice Statistics
U.S. Department of Justice
810 Seventh Street NW
Washington DC 20531
202-353-4982
mary.cowhig@usdoj.gov
From: Charlie Sullivan [mailto:cure@curenational.org]
Sent: Friday, September 14, 2018 3:23 AM
To: Cowhig, Mary (OJP)
Subject: Deaths in Custody comment
Ms. Cowhig, can I just email you my comment? All of the formal comment is very
confusing. Charles Sullivan,
Virus-free. www.avg.com
Appendix K
2018 MCI facility verification call script
RY2018 MCI Verification – Questions and Answers
Interviewer Questions
Data Fields Captured
Hello. My name is ______. I am calling on behalf of the U.S. Department of Justice. I am trying to reach
[FILL POC] about Mortality in Correctional Institutions (formerly the Deaths in Custody Reporting
Program).
IF YOU LEARN PERSON WE HAVE ON FILE AS THE POC IS NO LONGER THE POC, SAY
I am trying to reach the person who is responsible for reporting your agency’s data to Mortality
in Correctional Institutions. Last year, our primary contact was [FILL POC].
IF YOU’VE REACHED POC, CONTINUE
We appreciate your participation in the Mortality in Correctional Institutions.
We would like to make sure that the information we have on file for your agency is still correct.
We also have a few questions about the inmates you hold. This should only take a few minutes.
IF “NO,” FIND A GOOD TIME TO CALL BACK
IF “YES”, PRESS CONTINUE
Agency Name
First, I’d like to confirm that we have the correct name for your agency. We have…
[Interviewer reads agency name]
Is your agency name accurate? [Interviewer updates if needed]
Agency Physical Address
We have the following as the physical address for your agency…
[Interviewer reads Physical Address on Record: street, city, state, zip]
Is this the physical address for your agency? [Interviewer updates if needed]
Point of Contact (POC)
I'd now like to go over contact information so we can let your agency know when it’s time to submit the
next report for the Bureau of Justice Statistics’ Mortality in Correctional Institutions. Is it okay to list you
as the point of contact to receive these notices?
-IF PERSON IS ON THE LIST, REVIEW CONTACT INFO
I would like to review the contact information we have on file for the point of contact.
-IF PERSON NOT ON LIST, ADD NEW CONTACT
[Interviewer reads POC Contact Info on Record and updates if needed, or requests contact info for new
POC identified during call: salutation, title, first name, last name, mailing address1, mailing address2,
city, state, zip code, phone number, email address, additional notes]
Agency Head (AH)
Our files indicate that {FILL CURRENT AGENCY HEAD} is the head of your agency. Is this correct?
I would like to review the contact information we have.
[Interviewer reads AH Contact Info on Record and updates if needed, or requests contact info for new
AH identified during call: salutation, title, first name, last name, mailing address1, mailing address2, city,
state, zip code, phone number, email address, additional notes]
Agency Head Election
Is/Was the agency head position up for re-election in November 2018?
(Is/Was selection based on if we conduct the interview prior or after election day)
[Response: Yes, ‘Yes, but running unopposed’, No, Don’t know, Not an elected position]
(If after election day and response=Yes)
Was [agency head] elected? [Response: Yes, No, Don’t Know]
(If response = No)
Who is the newly elected agency head? [name]
When will the newly elected agency head take office? [date]
Do you have a telephone number and/or email address for the newly elected agency
head? [phone number] [email address]
Facilities
I'd now like to verify the facilities that are operating within your jurisdiction. Before I do, let me share
some eligibility and definitional information from BJS. First, BJS considers a facility to be separate if it
has its own administrator, its own staff, and its own budget. Second, when it comes to the Mortality in
Correctional Institutions (or M-C-I), an eligible facility meets the following criteria:
•
•
It is not a temporary holding or lockup facility from which inmates are transferred within 72
hours and not held beyond arraignment.
It does not exclusively hold inmates aged 17 or younger.
Given what I just read, we’ve got you as having the following facility(ies) open and operational in your
jurisdiction:
[Interviewer reads Facility(ies) Info: Name(s), Physical Address(es)]
Is this true?
[Response: Yes, No]
Do you include data for this facility when you report to MCI?
[Response: Yes, No, Don’t Know]
(If response to ‘Is this true’ = No)
What kind of changes do we need to make to our records for [agency name]?
(If facility closed part of all of the year)
When did this facility close? [month, date, year]
Do you expect the facility to re-open? [Response: Yes, No, Don’t Know]
Where are inmates from this facility being sent? [Response Text Field]
(If facility now in a different jurisdiction)
What is the name of the agency that supervises [agency name] now? [Response
Text Field]
Do you happen to know the name and telephone number of the person we
should contact about the facility now? [Response Text Field]
(If consolidated with another facility)
Please tell me the names of the facilities that have consolidated. [Response Text
Field]
(If name or address change needed)
[Facility Name, Address for Facility, City, State, Zipcode]
(If other)
Please tell us about the other changes that we should make to ensure that the
information that we have for [agency name] is complete and accurate.
[Response Text Field]
(If response to ‘Do you include data for this facility when you report to MCI’ = No)
Are you the best person to provide us information about [agency name]?
(If no)
Would you please provide a name and telephone number for the person who could
provide us with information on [agency name]? [Response Text Field]
(If point of contact indicates a new facility has opened)
Is this facility exclusively used as a temporary holding or a lockup facility from which inmates are
usually transferred within 72 hours and not held beyond arraignment? [Response: Yes, No,
Don’t Know]
(If Yes, we tell them that this facility would not be eligible for MCI data collection.)
(If No)
Does this facility exclusively hold inmates age 17 or younger? [Response: Yes, No, Don’t
Know]
(if Yes, we tell them that this facility would not be eligible for MCI data
collection.)
(If No or Don’t Know, proceed to ‘If Don’t Know’ outcome listed on next line)
(If Don’t Know) [Response Text Field]
I would like to collect the name and address for this facility. [facility name, address for
facility, city, state, zip code, date facility opened]
Does this facility exclusively hold inmates for the state Department of Corrections?
[Response options: Yes, No, Don’t Know]
Additional comments? [Response Text Field]
Population Information
Next, we’d like to know a little bit about the populations that are held with your facility.
As a practice, do you hold juveniles overnight? [Answer choices are: Yes, No, Don’t Know]
IF YES AND THERE IS MORE THAN ONE FACILITY LISTED Which facilities?
Other than courtesy holds, does your agency hold any inmates for Immigration and Customs
Enforcement (ICE)? [Answer choices are: Yes, No, Don’t Know]
IF YES AND THERE IS MORE THAN ONE FACILITY LISTED Which facilities?
Other than courtesy holds, does your agency hold any U.S. Marshal inmates? [Answer choices are: Yes,
No, Don’t Know]
IF YES AND THERE IS MORE THAN ONE FACILITY LISTED Which facilities?
Other than courtesy holds, does your agency hold inmates for state or federal prisons, Bureau of Indian
Affairs, or any other counties or jurisdictions? [Answer choices are: Yes, No, Don’t Know]
IF YES AND THERE IS MORE THAN ONE FACILITY LISTED Which facilities?
Other facilities in county
We’d like to find out about other jail facilities in your county that might be eligible for MCI. Remember
these are any facilities that are not temporary holding or lockup facilities and don’t exclusively hold
inmates 17 or younger.
Are you aware of any jail facilities in your county that are not operated by your agency (for example, a
locally or privately operated jail)?
[Response: Yes, No, Don’t Know]
(if Yes)
Can you please provide the name for this jail facility?
Do you know the address for this facility? (If necessary: Even just the city is helpful?)
Are there any other potentially eligible facilities in your county?
{CHECK ALL THAT APPLY}
FILL Existing Agency, Facility, Address 1 {CONFIRM NAME AND CITY WITH RESPONDENT}
FILL Existing Agency, Facility, Address 2 {CONFIRM NAME AND CITY WITH RESPONDENT}
FILL Existing Agency, Facility, Address 3 {CONFIRM NAME AND CITY WITH RESPONDENT}
FILL Existing Agency, Facility, Address 4…{CONFIRM NAME AND CITY WITH RESPONDENT}
New Facility 1 (NAME__________________) (FILL OTHER INFO___________________)
New Facility 2 (NAME__________________) (FILL OTHER INFO___________________)
New Facility 3 (NAME__________________) (FILL OTHER INFO___________________)
New Facility 4 (NAME__________________) (FILL OTHER INFO___________________)
New Facility 5 (NAME__________________) (FILL OTHER INFO___________________)
END
Thank you verifying this information. We'll reach out to you in January to let you know when it is time to
submit for the Mortality in Correctional Institutions. Do you have any questions about anything we’ve
gone over today?
IF YOU CAN’T ANSWER A QUESTION SAY: Our data collection team would be able to
answer that question better than I can. I’ll let them know that they should contact you.
Thank you for your help today. Goodbye.
MCI DATA COLLECTION HOTLINE: 800-344-1384
MCI DATA COLLECTION EMAIL: bjsmci@rti.org
Thank you for your help today. Goodbye.
Appendix L
2018 MCI email request for data submission
From:
To:
Subject:
Date:
Attachments:
bjsmci
xxxxx@xxxx.gov
Please submit DCRP (now MCI) 2018 Annual Summary form and any 2018 Death Report forms |
Tuesday, January 15, 2019 12:41:03 PM
sigMC.png
sigEAC.png
MCIlogo.png
Dear Captain xxxx:
Thanks to the efforts of jail administrators like you, the Bureau of Justice Statistics' (BJS) Mortality
in Correctional Institutions (formerly known as Deaths in Custody Reporting Program) continues to
be a great success. Started in 2000, Mortality in Correctional Institutions (MCI) is the only
nationwide data collection that enumerates and reports on the absence or occurrence of jail inmate
deaths.
With 2018 now behind us, we ask you to submit the MCI 2018 Annual Summary form,
regardless of whether an inmate died. We also ask you to submit individual Death Report
Forms if you had one or more inmate deaths in 2018. Your participation is voluntary, but we need
your assistance to make the MCI data complete and accurate.
Please submit online at:
Website: https://bjsmci.rti.org
Username: ########
Password: xxxxxxxxx
Submit by: February 28, 2019
If needed, you can view the FAQs and view/print the survey forms at the website above. For
assistance with completing this survey, contact RTI International at bjsmci@rti.org or (800) 3441387, Monday through Friday, 9 AM to 5 PM, EST. RTI is again the BJS data collection agent for the
MCI.
Thank you very much for your continued participation in BJS's statistical programs.
Ann Carson, Program Manager
Mortality in Correctional Institutions
(formerly Deaths in Custody Reporting
Program)
(202) 3616-3496
elizabeth.carson@usdoj.gov
Additional information: (1) Reporting guidance (2) MCI Factsheet/Quiz
The Bureau of Justice Statistics (BJS) is authorized to conduct this data collection under 34 U.S.C. §
10132. BJS will protect and maintain the confidentiality of your personally identifiable information
(PII) to the fullest extent under federal law. BJS, its employees, and its contractors will only use the
information you provide for statistical or research purposes pursuant to 34 U.S.C. § 10134, and will
not disclose your information in identifiable form to anyone outside of the BJS project team without
your consent. All PII collected under BJS's authority is protected under the confidentiality provisions
of 34 U.S.C. § 10231. Any person who violates these provisions may be punished for a fine up to
$10,000, in addition to any other penalties imposed by law. Further, per the Cybersecurity
Enhancement Act of 2015 (6 U.S.C. § 151), federal information systems are protected from
malicious activities through cybersecurity screening of transmitted data. For more information on
how BJS and its contractors will use and protect your information, go to
http://www.bjs.gov/content/pub/pdf/BJS_Data_Protection_Guidelines.pdf
Appendix M
2018 MCI postal request for data submission
January 15, 2019
«Salutation» «FirstName» «LastName»
«AgencyName»
«Address1»
«Address2»
«City», «State» «Zip»
Dear «Salutation» «LastName»:
Thanks to the efforts of jail administrators like you, the Bureau of Justice Statistics’ (BJS) Mortality in
Correctional Institutions (formerly known as Deaths in Custody Reporting Program) continues to be a great
success. Started in 2000, Mortality in Correctional Institutions (MCI) is the only nationwide data collection that
enumerates and reports on the absence or occurrence of jail inmate deaths.
With 2018 now behind us, we ask you to submit the MCI 2018 Annual Summary form, regardless of
whether an inmate died. We also ask you to submit individual Death Report Forms if you had one or more
inmate deaths in 2018. Your participation is voluntary, but we need your assistance to make the MCI data
complete and accurate.
Please submit online at:
Website:
Username:
Password:
Submit by:
https://bjsmci.rti.org
«username»
«password»
February 28, 2019
If needed, you can view the FAQs and view/print the survey forms at the website above. For assistance with
completing this survey, contact RTI at bjsmci@rti.org or (800) 344-1387, Monday through Friday, 9 AM to 5
PM, EST. RTI International is again the BJS data collection agent for the MCI.
Thank you very much for your continued participation in BJS’s statistical programs.
Sincerely,
E. Ann Carson, Acting Chief
Corrections Unit
Bureau of Justice Statistics
(202) 616-3496
elizabeth.carson@usdoj.gov
Enclosures: Reporting Instructions, MCI factsheet/quiz
See Page 2 for BJS confidentiality and data use information.
1
«control»
The Bureau of Justice Statistics (BJS) is authorized to conduct this data collection under 34 U.S.C. § 10132. BJS
will protect and maintain the confidentiality of your personally identifiable information (PII) to the fullest extent
under federal law. BJS, its employees, and its contractors will only use the information you provide for statistical
or research purposes pursuant to 34 U.S.C. § 10134, and will not disclose your information in identifiable form to
anyone outside of the BJS project team without your consent. All PII collected under BJS’s authority is protected
under the confidentiality provisions of 34 U.S.C. § 10231. Any person who violates these provisions may be
punished for a fine up to $10,000, in addition to any other penalties imposed by law. Further, per the
Cybersecurity Enhancement Act of 2015 (6 U.S.C. § 151), federal information systems are protected from
malicious activities through cybersecurity screening of transmitted data. For more information on how BJS and
its contractors will use and protect your information, go to
http://www.bjs.gov/content/pub/pdf/BJS_Data_Protection_Guidelines.pdf
2
January 15, 2019
«Salutation» «FirstName» «LastName»
«AgencyName»
«Address1»
«Address2»
«City», «State» «Zip»
Dear «Salutation» «LastName»:
Thanks to the efforts of state prison officials nationwide, the Bureau of Justice Statistics’ (BJS) Mortality in
Correctional Institutions (formerly known as Deaths in Custody Reporting Program) continues to be a great
success. Started in 2000, Mortality in Correctional Institutions (MCI) is the only nationwide data collection that
enumerates and reports on prisoner deaths.
With 2018 now behind us, we ask that you submit the MCI 2018 Annual Summary form and 2018 Death
Report forms, one per decedent. Your participation is voluntary, but we need your assistance to make the MCI
data complete and accurate.
Please submit online at:
Website:
Username:
Password:
Submit by:
https://bjsmci.rti.org
«username»
«password»
February 28, 2018
If needed, you can view the FAQs and view/print the survey forms at the website above. For assistance with
completing this survey, contact RTI at bjsmci@rti.org or (800) 344-1387, Monday through Friday, 9 AM to 5
PM, EST. RTI International is again the BJS data collection agent for the MCI.
Thank you very much for your continued participation in BJS’s statistical programs.
Sincerely,
E. Ann Carson, Acting Chief
Corrections Unit
Bureau of Justice Statistics
(202) 616-3496
elizabeth.carson@usdoj.gov
Enclosures: Reporting Instructions, MCI factsheet/quiz
See Page 2 for BJS confidentiality and data use information.
1
«control»
The Bureau of Justice Statistics (BJS) is authorized to conduct this data collection under 34 U.S.C. § 10132. BJS
will protect and maintain the confidentiality of your personally identifiable information (PII) to the fullest extent
under federal law. BJS, its employees, and its contractors will only use the information you provide for statistical
or research purposes pursuant to 34 U.S.C. § 10134, and will not disclose your information in identifiable form to
anyone outside of the BJS project team without your consent. All PII collected under BJS’s authority is protected
under the confidentiality provisions of 34 U.S.C. § 10231. Any person who violates these provisions may be
punished for a fine up to $10,000, in addition to any other penalties imposed by law. Further, per the
Cybersecurity Enhancement Act of 2015 (6 U.S.C. § 151), federal information systems are protected from
malicious activities through cybersecurity screening of transmitted data. For more information on how BJS and
its contractors will use and protect your information, go to
http://www.bjs.gov/content/pub/pdf/BJS_Data_Protection_Guidelines.pdf
2
MORTALITY IN CORRECTIONAL INSTITUTIONS
(formerly known as Deaths in Custody Reporting Program)
ACTION REQUESTED
Reporting Instructions:
• Complete the 2018 Annual Summary form, even if
no deaths occurred in your agency’s custody during 2018.
• Submit a 2018 Death Report form for each death
that occurred in your agency’s custody during 2018.
Please submit data online as follows:
Website: https://bjsmci.rti.org
Username: «username»
Password: «password»
Submit by: February 28, 2019
• Paper versions of the forms can be downloaded on the website if you prefer
to mail or fax in your reports.
• Please refer to the Frequently Asked Questions section of the website for
additional information.
• Please also submit 2019 Death Report forms, if applicable, using the
website and web credentials listed above.
Need help?
MCI hotline: 800-344-1387
MCI email: bjsmci@rti.org
«control»
For more than a decade, BJS has collaborated with local jails and state departments of corrections
to collect and disseminate statistics on mortality data. Data are collected under Mortality in
Correctional Institutions (MCI), formerly known as the Deaths in Custody Reporting Program (DCRP).
Want to test your knowledge about MCI?
Take the following quiz!
(Answers are available further below.)
1. What percentage of suicides occurred in
general housing within jails between 2000 and
2014?
a. 36%
b. 47%
c. 60%
2. True or False. The mortality rate for male
state prisoners was twice the rate for
female state prisoners in 2014, specifically
for cancer, heart disease, and liver disease.
3. What percentage of deaths in state prisons in
2014 were illness-related?
a. 43%
b. 65%
c. 87%
How are the Mortality in Correctional
Institutions (MCI) data used?
Over the years, BJS has published several reports on
corrections-related mortality, providing the corrections
community with important statistics that help policymakers and jail administrators address key public
health issues facing jails and prisons. Some examples
include:
a. HIV in Prisons, 2015 – Statistical Tables, August
2017, NCJ 250641
b. Mortality in Local Jails, 2000-2014 - Statistical
Tables, December 2016, NCJ 250169
c. Mortality in State Prisons, 2001-2014 - Statistical
Tables, December 2016, NCJ 250150
4. True or False. Female jail inmate deaths
increased 22% between 2013 and 2014.
d. Assessing Inmate Cause of Death: Deaths in
Custody Reporting Program and National Death
Index, April 2016, NCJ 249568
Sources: Mortality in Local Jails, 2000-2014 - Statistical
Tables, BJS Web, December 2016, NCJ 250169 and Mortality
in State Prisons, 2001-2014 - Statistical Tables, BJS Web,
December 2016, NCJ 250150.
Please visit the BJS website at http://www.bjs.gov to
access these and other statistical reports.
(1) 47%. Also, suicide has been the leading cause of death in jails
every year since 2000. In 2014, suicide accounted for 35.3% of
deaths. Heart disease was second, accounting for 22.7% of deaths in
2014.
For more information
about BJS or MCI,
please contact—
Ann Carson
U.S. Department of Justice
Bureau of Justice Statistics
810 7th Street, NW
Washington, DC 20531 (202)
616-3496
elizabeth.carson@usdoj.gov
For more information
about MCI or data
collection, please
contact—
Bryan Rhodes
MCI Data Collection Task Leader
RTI International
3040 Cornwallis Road
Research Triangle Park, NC 27709
(800) 344-1387
bjsmci@rti.org
(2) True. Also, in order, cancer, heart disease, and liver disease are
the leading causes of illness-related deaths for state prisoners.
(3) 87%. Also, between 2005 and 2014, the percentage of illnessrelated state prisoner deaths was stable, ranging between 87% and
90% annually.
(4) True. Also, while male inmate deaths account for the vast
majority of deaths (900 deaths), the number of female deaths (152
deaths) did rise in 2014.
Appendix N
2018 MCI data submission first reminder email
SUBJECT: Please complete the 2018 MCI Annual Summary Form (<>)
Dear <> <>:
Our records show that as of <>, your agency has <> your 2018 Annual
Summary form (ASF) for the U.S. Department of Justice’s Mortality in Correctional Institutions
(formerly known as Deaths in Custody Reporting Program). We have received at least one
Death Report form for 2018 and thank you for this.
Please submit your 2018 ASF as soon as possible. Completing this form is critical for calculating
mortality rates across all <> in the U.S. <>
Please logon to the Mortality in Correctional Institutions (MCI) website (https://bjsmci.rti.org)
to complete the ASF using these credentials:
USERNAME: <>
PASSWORD: <>
After submitting your ASF, please ensure that you have also submitted one Death Report form
for each death you reported on the ASF.
<>
found on the MCI website. Return the forms as outlined in the instructions on the first page of
the forms.>>
If you have any questions, please contact a member of the data collection team at (800) 3441387 or bjsmci@rti.org.
Thank you in advance for your continued participation in the MCI.
Bryan Rhodes
RTI MCI Data Collection Task Leader
SUBJECT: Please complete the 2018 MCI Annual Summary Form (<>)
Dear <> <>:
Our records show that as of <>, your agency has <> your 2018 Annual Summary
form (ASF) for the U.S. Department of Justice’s Mortality in Correctional Institutions (formerly known
as Deaths in Custody Reporting Program). All agencies should complete an ASF, regardless of whether
they experienced any in-custody deaths in 2018.
Please submit your 2018 ASF as soon as possible. Completing this form is critical for calculating
mortality rates across all <> in the U.S. <
Please logon to the Mortality in Correctional Institutions (MCI) website (https://bjsmci.rti.org) to
complete the ASF using these credentials:
USERNAME: <>
PASSWORD: <>
After submitting your ASF, please ensure that you have also submitted one Death Report form for each
death you reported on the ASF.
If you prefer to submit by paper, please print and complete the 2018 << ASF Form Code>> ASF, and, if
appropriate, 2018 <> Death Report form (one per death) found on the website. Please
return the forms as outlined in the instructions on the first page of the forms.
If you have any questions, please contact a member of the data collection team at (800) 344-1387 or
bjsmci@rti.org.
Thank you in advance for your continued participation in the MCI.
Bryan Rhodes
RTI MCI Data Collection Task Leader
Dear <> <>:
Our records show that as of March 2, 2019 your agency has not submitted your 2018 Annual
Summary form (ASF) for the U.S. Department of Justice’s Mortality in Correctional Institutions
(formerly known as Deaths in Custody Reporting Program). <>
Please submit your 2018 ASF as soon as possible. Completing this form is critical for calculating
mortality rates across all jails in the U.S.
Please logon to the Mortality in Correctional Institutions (MCI) website (https://bjsmci.rti.org)
to complete the ASF using these credentials:
USERNAME: <>
PASSWORD: <>
After submitting your ASF, please ensure that you have also submitted one Death Report form
for each death you reported on the ASF.
If you prefer to submit your ASF by paper, please print and complete the 2018 <| File Type | application/pdf |
| Author | Carson, Elizabeth |
| File Modified | 2018-11-07 |
| File Created | 2018-11-07 |