State/Non-State Agency and Facility Enrollment Materials

Attachment 7
NSYC-2 State and Non-State Agency and Facility Enrollment Materials

Table of Contents

I.

State/Non-State Agency Informational Email Template ............................................................ 3

II.

Study Brochure to State/Non-State Agencies and Facilities ....................................................... 5

III.

State/Non-State Agency Information Sheet ................................................................................ 7

IV.

Expectations for State Commissioners and Liaisons .................................................................. 8

V.

Expectations for Facility Staff Involvement .............................................................................. 9

VI.

State/Non-State Agency Endorsement Template for Facility Enrollment .................................. 11

VII.

Sample Update Worksheet .......................................................................................................... 12

VIII.

Facility Information Sheet ........................................................................................................... 13

IX.

Pre-Discussion Worksheet for Facility Coordinators.................................................................. 14

Email Template for Initial Contact with Liaisons
Good (morning/afternoon/evening). My name is [NAME]. I left a message for you this
(morning/afternoon/evening) and am following up by email. I understand that you will be out
of the office until [DATE]. [I spoke with {NAME} and learned that you have been designated as
the liaison to the National Survey of Youth in Custody (NSYC).
The purpose of my call was to introduce myself and to review your role in the study. Specific
issues that I would like to discuss include the following:
1. Authorization and research review requirements: I would like to talk about procedures that
we will need to follow to obtain study clearance. For example, some (states/agencies) require
that the study be reviewed by a (state/agency) institutional review board (IRB). If IRB or any
other type of review is required, I would like to obtain a copy of the review procedures and
necessary forms so we can start completing them as soon as possible.
2. Security clearances for Westat staff: I need to identify any special requirements for the
survey team to gain access to the facilities, for example, background checks. If there are special
procedures or forms to be completed, I would like to get copies of these materials.
3. Mandatory reporting procedures: We consider our survey teams to be mandatory reporters
when youth make verbal allegations of abuse or harm, and therefore we will comply with all
state and local reporting requirements. We would like to review any written guidelines
pertaining to mandatory reporting for individuals housed in juvenile facilities. For example, we
would be looking for information on types of allegations that must be reported and how the
reports should be submitted including what office should receive the reports, what medium
(e.g., hardcopy, electronic) we will use, and what information to include in the reports.
4. Consent procedures: NSYC can implement various strategies to obtain consent for minors to
participate in the study:
A. In loco parentis, in which the agency or facility provides consent in lieu of the
parent/guardian. This procedure has been approved by Westat’s IRB in cases where the
agency or facility is willing to accept responsibility for providing consent. It was used
successfully in the first NSYC (2008) and found to lessen the burden on facility staff and
increase response rates. If the agency or facility wishes to notify parents/guardians
about the study, Westat is able to assist with contacting them by mail and/or telephone.
B. Active parent/guardian consent, in which written or verbal consent is required from
the parent/guardian of each youth. This procedure was also successfully used in the
first NSYC. It does require relatively more involvement by the liaison and facility staff.
For example, we would need to define the contact strategy (e.g., mail, telephone, faceto-face) and schedule, assign responsibilities to Westat, facility, and state staff for
producing materials (e.g., letters, case status forms, instructions), contacting

households, and tracking results. Westat is willing to take responsibility for as much of
this process as possible. If we are to contact parents/guardians, we will need the
names, addresses, and telephone numbers of parents/guardians and the names of
youth.
5. Counseling procedures: Since some of the survey questions ask about sensitive topics, our
IRB requires that facility counselors and outside counselors are available if youth request
services. We will need to identify appropriate options for providing external counselors (e.g.,
someone from the agency central office).
6. Documentation: Before we contact facilities, we will need documentation that the
(state/agency) has agreed to support NSYC.
I have also attached a study brochure, agency administration information sheet, agency roles
and responsibilities sheet, and the facility roles and responsibilities sheet for your convenience.
I will call you on [DATE] to discuss the study. In the meantime, please reply or call me if you
have any questions. My contact information is listed below. Thank you.
Sincerely,

National Survey
of Youth in
Custody (NSYC)

Sponsored by
Bureau of Justice Statistics
U.S. Department of Justice

The Bureau of Justice Statistics (BJS)
carries out the National Survey of Youth
in Custody (NSYC) in response to the
Prison Rape Elimination Act of 2003 (P.L.
108-79) (PREA). The Act requires BJS to
collect data on the prevalence of sexual
victimization of youth living in juvenile
correctional facilities according to the
prevalence of sexual victimization.

The survey questions and possible
answer choices will appear on the
computer screen. At the same time, the
youth can listen through the headphones
to a recorded voice reading the text that
appears on the screen. Youth will touch
the computer screen to select an answer
for each question, moving along at their
own pace.

BJS conducted the first NSYC study in
2008; over 10,000 youth from almost 200
facilities nationwide took part. In 2011,
the second NSYC study (NSYC-2) will
begin, and over 23,000 youth will be
asked to be a part of the study.

Questions will ask about their
experiences while living at the facility.
This includes questions about the staff,
the health services
the youth might
have used, and
other youth who
live in the facility.
Some youth will
also be asked
questions about
alcohol and drug use prior to admission
to the facility, and some will be asked
about any sexual experiences that might
have happened in the facility.

Adjudicated youth in state facilities or
placed by the state in non-state
facilities are eligible to participate.
Minors will be asked to take part in the
study only if (1) the state or facility
provides consent in loco parentis or (2) a
legal guardian provides consent. Minors
(with consent) and adult youth will be
asked to complete an interview.
The NSYC interview is done on a
computer. Youth spend about 30
minutes completing the survey. Youth
who agree to take
part will be seated
in front of a laptop
computer and will
put on a pair of
headphones.

Youths’ answers on the survey will
remain private and anonymous.
However, if a youth makes a verbal
allegation to the researcher about any
abuse or harm to himself or herself, or
another child, occurring in the facility, it
will be reported to the state or local
government agency that investigates
these kinds of problems.

State and non-state agencies will be
asked to support the study in the
following ways:

Facilities will be asked to support the
study in the following ways:
•

•

Define clearance procedures.
Identify procedures that are required
for the study to be conducted in the
selected juvenile facilities (e.g.,
submitting study protocols for
review, performing background
checks on data collection staff).
•

•

•

•

Determine consent requirements.
Confirm state or non-state agency
standards for obtaining permission
to interview youth (i.e., in loco
parentis or active parent/guardian
consent).
Define mandatory reporting
procedures. Communicate the
requirements and procedures for
reporting verbal allegations of abuse
or neglect made by youth to the
research team.
Identify counseling support.
Arrange for counseling resources to
be available at each participating
facility. Both facility-based and nonfacility based
counselors (e.g.,
central office
staff) must be
identified.

•

•

Report on facility characteristics.
Provide information on general
facility and unit characteristics (e.g.,
number of state-placed adjudicated
youth) needed to plan the logistical
details of study activities at the
facility.
Provide youth rosters. Provide an
initial roster of state-placed
adjudicated youth and weekly
updates on discharges and newly
admitted youth.
Assist with consent requirements:
If active parent/guardian consent is
required, work with Westat (the
research firm conducting the study
for BJS) to determine and conduct
the appropriate procedures.
Arrange for visits by Westat
researchers. Schedule the data
collection visit and facilitate data
collection procedures (e.g., providing
private areas for youth to complete
the interview, escorting youth to and
from the interview areas).

•

Complete a facility survey. The
survey focuses on facility and unit
characteristics such as staffing,
surveillance, and other facility and
unit characteristics (e.g., facility
type).

•

Provide administrative records on
youth. Supply information on all
state-placed adjudicated youth at the
facility (e.g., most serious offense).

Further information on NSYC is
available. The study is sponsored by the
Bureau of Justice Statistics (BJS), an
agency within the U.S. Department of
Justice.
Paul Guerino
Project Officer
Bureau of Justice
Statistics 810 7th St., NW
Washington, DC 20531
202 307-0349
[email protected]
The survey is being conducted by
Westat, an independent research
organization.
David Cantor, Ph.D.
Westat
1600 Research Blvd.
Rockville, MD 20850
301-294-2080
[email protected]

National Survey of Youth in Custody (NSYC)

Bureau of Justice Statistics

U.S. Department of Justice

Agency Information Sheet
Implementation Process
June 2011 – November 2011
•

Westat will contact the agency director to learn who will serve as the liaison for your
agency.

•

The liaison will define the consent requirements for state-placed adjudicated minors to
participate in the study.

•

The liaison will confirm the state mandatory reporting requirements and procedures for
reporting alleged abuse or neglect based on verbal statements made by youth.

July 2011 – June 2012
•

Westat will provide the liaison with a list of facilities selected to participate in NSYC.

•

The liaison will contact the facility administrators to inform them of the agency’s support
of the study.

•

Westat will mail an NSYC information packet to facility administrators.

•

Westat will contact the facility administrators to learn who will serve as the coordinator
for the facility.

•

Westat will provide the coordinators with study materials and begin planning and
preparing for data collection at the facility. Planning activities will be completed by the
end of December 2011.

•

If the agency or facility cannot provide consent on behalf of parents, Westat will work
with the facility coordinator (and agency liaison, if needed) to define procedures for
obtaining verbal or written parent/guardian consent. If Westat has a role in contacting
parents/guardians for consent, the coordinator will provide contact information for the
parents/guardians of minors selected to participate in the study.

•

Westat and the coordinator will schedule the data collection visit. Several weeks before
the visit, the coordinator will provide and update (weekly) a roster of all state-placed
adjudicated youth.

January 2012 – June 2012
•

A survey team will visit each facility to conduct data collection. This will include meeting
individually with youth, and supporting the coordinator in responding to the Facility
Survey and providing administrative records data for all state-placed adjudicated youth.

NATIONAL SURVEY OF YOUTH IN CUSTODY (NSYC)

State Roles and Responsibilities

Bureau of Justice Statistics

U.S. Department of Justice

State Director/Commissioner

1. Designate a State Liaison: The State Director/Commissioner will select a state staff
person who will serve as a liaison to the study. This liaison will work with the residential
juvenile facilities and Westat to prepare for and coordinate the survey team visit.
2. Provide State Clearance: The State Director/Commissioner will provide authorization,
via the State Liaison, for Westat to contact the selected facilities in your state to arrange for
participation in this survey.
State Liaison
1. Inform Facility Superintendent/Administrator and Identify a Facility Coordinator:
The State Liaison will contact the superintendents/administrators of the selected facilities in
the state to inform them of the NSYC study and identify a staff person in the facility who will
serve as the point-of-contact for scheduling and arranging for the survey team visit.
2. Communicate Requirements to Obtain Informed Consent for Minors: The State
Liaison will identify whether the state/facility will provide consent for adjudicated minors to
participate in the survey on behalf of the parents (i.e., in loco parentis). If this is not an
option for your state, the Liaison will work with the facility and Westat to define the
procedures for obtaining written or verbal consent from the minors’ parents/guardians.
3. Communicate Requirements for Reporting Data and Date of Destruction of Data:
The State Liaison will provide the state’s requirement for reporting NSYC’s state data and
will provide the date of destruction requirements.
4. Confirm State Mandatory Reporting Procedures: The State Liaison will confirm how
incidents should be reported to child welfare authorities if a youth informs the survey team of
abuse or neglect. Prior to the survey visit, the team will need to understand the state
mandatory reporting pr
procedures
ocedures and will need the telephone number and paperwork
requirements (if applicable) for submitting a report.
5. Assist in Obtaining Youth Rosters: The State Liaison will support NSYC to ensure
each facility provides complete and accurate rosters of all adjudicated youth in a timely
manner.
6. Specify Security Clearance Requirements for Westat Survey Staff: The State
Liaison will specify any special requirements for the survey team to gain access to the
facilities. This may include special identificati
identification
on requirements or background checks.
7. Identify External Counseling Resources: The State Liaison will confirm that both
internal and external counseling will be available to youth who participate in the survey. The
Westat Institutional Review Board ((IRB)
IRB) requires that youth receive counseling if they
become upset after the survey or if they ask to speak to a counselor. If the youth requests to
speak to someone who is not a facility counselor, arrangements must be in place for the
youth to speak privately with an outside counselor.

NATIONAL SURVEY OF YOUTH IN CUSTODY (NSYC)
Facility Roles and Responsibilities

Bureau of Justice Statistics

U.S. Department of Justice

Facility administrator

1.

Designate a facility coordinator: The facility administrator will designate a staff
person who will work with Westat to prepare for the survey team visit and to
complete the facility survey.

Facility coordinator

1.

Describe facility characteristics: The coordinator will provide information about
the facility (e.g., number of living units, number of youth) through a series of brief
telephone interviews. This information will be used to plan for the visit.

2.

Schedule the facility visit: The coordinator and Westat staff will schedule the visit
based on the faci
facility
lity schedule, expected number of youth, and availability of

researchers. Typically the research team will consist of two to five Westat staff.

3.

Provide youth roster: Several weeks prior to the visit date, the coordinator will
provide Westat with a roster of state-placed adjudicated youth in the facility. The
roster will contain an identification number for each youth (unrelated to other
identifiers maintained by the facility)
facility),, the gender, date of birth, and date of
admission.

4.

Provide roster updates: The coordinator will provide Westat with weekly roster
updates to add newly admitted youth and remove youth as they are discharged from
the facility.

5.

Support efforts to obtain consent for youth to participate: When possible, the
agency or facility will grant permission to interview youth in loco parentis. If this is
not possible, Westat will work with the coordinator to determine appropriate
procedures to obtain permission from parents/guardians. If Westat assists in
obtaining permission, the coordinator will provide parent/guardian contact

information as needed.

6.

Plan visit logistics: In preparation for the survey visit, the coordinator will identify
private rooms where each researcher will conduct the interviews and arrange the
daily schedule so youth can be available. These plans will be prepared in advance and
then confirmed when the team supervisor meets with the coordinator on the first day
of the visit.

7.

Arrange for counseling services: The coordinator will ensure that counseling is
available for youth, if requested. If the youth asks to speak with a counselor who is
not affiliated with the facility, services from an outside counselor should be arranged.

8.

Define mandatory reporting procedures: NSYC researchers are considered
subject to state and local mandatory reporting requirements. When youth make
verbal allegations of abuse or harm to a researcher, a report will be made. General
procedures will be specified by the agency liaison. However, the facility coordinator
will be asked to define the specific procedures for the facility (e.g., name and contact
information for the agency designated to receive the report).

9.

Provide administrative records data: The coordinator will complete an
administrative data form that collects information (e.g., reason for placement, most
serious offense) about all state-placed adjudicated youth in the facility.

10.

Provide support during data collection visit: The coordinator will be the point of
contact while the interviews are taking place. This includes scheduling the interviews
for the selected youth and arranging for staff to escort youth to and from the
interview rooms.

DATE
AGECY LETTERHEAD

TO:

Westat

FROM:

[ISERT STATE/AGECY AUTHORITY]

SUBJECT:

National Survey of Youth in Custody

[ISERT STATE/AGECY AUTHORITY] endorses the National Survey of Youth in Custody
(NSYC) and agrees to support data collection at the following facilities:
LIST OF FACILITIES
[ISERT FACILITIES]
We understand that Westat, a research corporation located in Rockville, Maryland, will soon contact these
facilities to enroll them in NSYC, a national survey of youth in custody sponsored by the U.S.
Department of Justice, Bureau of Justice Statistics. NSYC is designed to obtain information about all
adjudicated youth in state facilities and state-placed adjudicated youth in non-state facilities in [ISERT
STATE]and nationwide. Ultimately, the findings from the NSYC will inform policymakers at the
national and state levels about the experiences of youth in custody.
Westat will send materials to [this facility/each of these facilities] which will detail the process to be
used to conduct the survey. The materials will advise facilities that BJS and Westat will keep confidential
all information identifiable to a youth, with the exception of verbal statements by youth indicating abuse
or harm.
We will encourage facilities to cooperate in this effort. If facilities have any questions regarding this
cooperative effort, they may contact [ISERT LIAISO AD COTACT IFO].

State Liaison Contact Worksheet
Questions for State Liaison Contacts Regarding New and Closed Facilities
Recruiter: _____________________________________

Date: ______________
State: ______________

New Facility Information
1a.

Have any new facilities with 90+ adjudicated youth opened within the last two years
(i.e., since February 2006)?

1b.

List names of new facilities, current total population, and number of adjudicated youth, and opening date.
a. New facility name

b. Current total
population

c. Number of
adjudicated youth

Yes

No

d. Opening
date

1.
2.
3.
4.
5.
6.
7.
Of the facilities sampled for NSYC:
2.

List any of the sampled facilities that have closed or are scheduled to close this year? (IF NONE, write “None” in
2a.)

In Column 2b, provide scheduled closing date for each facility.
In Column 2c, provide transfer information.
In Column 2d, provide name of new facility.

2a. Facility Name
1.
2.
3.
4.
5.
6.
7.
*new facility = opened since February 2006.

2b.
Scheduled
closing date

2c. Were youth transferred
(or will youth be transferred
to a NEW* facility)?
(Circle one, if yes,
complete Col 2d.)
Yes
No
DK
1
2
3
1
2
3
1
2
3
1
2
3
1
2
3
1
2
3
1
2
3

2d. Name
of new facility

As you complete each worksheet, email or send it to Trey Author, RW2602.
However, if you discover one of the following about a new facility, please contact John Hartge immediately to determine
whether facility will be added to the NSYC sample:
a.
b.

Facility closing is scheduled for July 1, 2008 or later
Youth will be transferred to a new facility (i.e., Q2, Col2c = yes).

Bureau of Justice Statistics

U.S. Department of Justice

NATIONAL SURVEY OF YOUTH IN CUSTODY (NSYC)
Facility Information Sheet

Implementation Process
July 2011 – June 2012
•
•

•

•

•

Westat will mail an NSYC information packet to the facility administrator.
Westat will contact the facility administrator to learn who will serve as the
coordinator for the facility.
Westat will provide the coordinator with study materials and begin planning and
preparing for data collection at the facility. Planning activities will be completed
by the end of December 2011.
If the agency or facility cannot provide consent on behalf of parents, Westat will
work with the facility coordinator (and agency liai
liaison,
son, if needed) to define
procedures for obtaining verbal or written parent/guardian consent. If Westat
has a role in contacting parents/guardians for consent, the coordinator will
provide contact information for the parents/guardians of minors selected to
participate in the study.
Westat and the coordinator will schedule the data collection visit. Several weeks
before the visit, the coordinator will provide and update (weekly) a roster of all
state-placed adjudicated youth.

January 2012 –June 2012
•
•

•

•

Survey team visits will be conducted between January and June 2012.
The coordinator will find private space in the facility where each Westat team
member can meet individually with youth to conduct the interviews. The
coordinator will assign facility staff to escort youth to and from the interview
area(s).
The coordinator will gather information requested on the NSYC Facility Survey
and provide the completed survey to Westat.
The coordinator will provide administrative records data (approximately 6 data
items, such as “most serious offense”) on all state-placed adjudicated youth in
the facility.

National Survey of Youth in Custody
Facility Information Worksheet
This worksheet highlights the topics that NSYC study staff will need to discuss with the
facility coordinator. You are not asked to return this form; rather, we offer it as a tool to
help you prepare for the call with our staff. We will followup with you periodically to
learn of any changes.
If you have any questions, please contact your NSYC study contact person at Westat
(800-XXX-XXXX).
Thank you for your assistance and cooperation.

Facility characteristics

• Who operates this facility?
State
County agency
Municipal agency
Private agency
Other (Please obtain the name, address, and telephone number of the operator.)

• Is this facility part of a larger agency?
Yes
No

• Are there any other buildings with sleeping units that are associated with this
facility that are not next to this building or on the same campus?
Yes (Please obtain the names, addresses, and telephone numbers of those other places.)
No

1

• How many youth (minors and adults) have assigned beds in this facility?
_____ youth

• How many youth (minors and adults) in this facility are court-adjudicated for
an offense? (An “offense” is any behavior that is illegal in your state for underage persons alone
or for both underage persons and adults.)
_____ youth

• Other than for gender separation, does this facility have one or more
living/sleeping units, designed to keep any youth separate in housing and
activities from other residents for specialized care or security? (By “separate
living/sleeping units,” we mean places such as other buildings on campus, wings, floors, dorms,
barracks, classrooms, or cottages. We do not mean time-out rooms, isolation rooms, or infirmaries.)
Yes
No
NSYC data collection logistics

• When will the visit be conducted? Are there dates when the facility cannot
accommodate the visit (e.g., holidays, school testing days)?
_____________________________________________________________________
_____________________________________________________________________

• What private areas will be available for the youth to complete the computerassisted interviews? One area will be needed for each researcher visiting the
facility.
_____________________________________________________________________
_____________________________________________________________________

2

• What conditions have been established for parent/guardian consent?
Typically, the conditions are set by the state or other agency. Roles and
responsibilities of Westat and facility staff are left to be defined through
discussions with the facility coordinator.
_____________________________________________________________________
_____________________________________________________________________

•

What will be the reporting procedures if a youth makes a verbal statement alleging
abuse or neglect? Again, the general procedures have been defined by the state or
other agency. Specific instructions must be discussed with the facility coordinator.
_____________________________________________________________________
_____________________________________________________________________

•

Who will be available to provide counseling services if a youth makes such a request
to a researcher? The state or other agency will have already agreed that services will
be available from both facility-based and external counselors as needed.
_____________________________________________________________________
_____________________________________________________________________

•

When and how will the facility coordinator provide Westat with youth rosters and
updates? What information must be conveyed?
_____________________________________________________________________
_____________________________________________________________________

•

Are researchers required to undergo any background checks or complete any other
security procedures?
_____________________________________________________________________
_____________________________________________________________________

•

Are there recommended hotels where our researchers should stay?
_____________________________________________________________________
_____________________________________________________________________
3