SSV Attachments

Attachment 1
Public Law 108-79

Attachment 1

PUBLIC LAW 108–79—SEPT. 4, 2003

PRISON RAPE ELIMINATION ACT OF 2003

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Attachment 1

117 STAT. 972

PUBLIC LAW 108–79—SEPT. 4, 2003

Public Law 108–79
108th Congress
An Act
Sept. 4, 2003
[S. 1435]

Prison Rape
Elimination Act
of 2003.
45 USC 15601
note.

To provide for the analysis of the incidence and effects of prison rape in Federal,
State, and local institutions and to provide information, resources, recommendations, and funding to protect individuals from prison rape.

Be it enacted by the Senate and House of Representatives of
the United States of America in Congress assembled,
SECTION 1.SHORT TITLE; TABLE OF CONTENTS.

(a) SHORT TITLE.—This Act may be cited as the ‘‘Prison Rape
Elimination Act of 2003’’.
(b) TABLE OF CONTENTS.—The table of contents of this Act
is as follows:
Sec.
Sec.
Sec.
Sec.
Sec.
Sec.
Sec.
Sec.
Sec.
Sec.

42 USC 15601.

1. Short title; table of contents.
2. Findings.
3. Purposes.
4. National prison rape statistics, data, and research.
5. Prison rape prevention and prosecution.
6. Grants to protect inmates and safeguard communities.
7. National Prison Rape Reduction Commission.
8. Adoption and effect of national standards.
9. Requirement that accreditation organizations adopt accreditation standards.
10. Definitions.

SEC. 2. FINDINGS.

Congress makes the following findings:
(1) 2,100,146 persons were incarcerated in the United
States at the end of 2001: 1,324,465 in Federal and State
prisons and 631,240 in county and local jails. In 1999, there
were more than 10,000,000 separate admissions to and discharges from prisons and jails.
(2) Insufficient research has been conducted and insufficient data reported on the extent of prison rape. However,
experts have conservatively estimated that at least 13 percent
of the inmates in the United States have been sexually
assaulted in prison. Many inmates have suffered repeated
assaults. Under this estimate, nearly 200,000 inmates now
incarcerated have been or will be the victims of prison rape.
The total number of inmates who have been sexually assaulted
in the past 20 years likely exceeds 1,000,000.
(3) Inmates with mental illness are at increased risk of
sexual victimization. America’s jails and prisons house more
mentally ill individuals than all of the Nation’s psychiatric
hospitals combined. As many as 16 percent of inmates in State
prisons and jails, and 7 percent of Federal inmates, suffer
from mental illness.
(4) Young first-time offenders are at increased risk of sexual
victimization. Juveniles are 5 times more likely to be sexually

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Attachment 1

PUBLIC LAW 108–79—SEPT. 4, 2003

117 STAT. 973

assaulted in adult rather than juvenile facilities—often within
the first 48 hours of incarceration.
(5) Most prison staff are not adequately trained or prepared
to prevent, report, or treat inmate sexual assaults.
(6) Prison rape often goes unreported, and inmate victims
often receive inadequate treatment for the severe physical and
psychological effects of sexual assault—if they receive treatment
at all.
(7) HIV and AIDS are major public health problems within
America’s correctional facilities. In 2000, 25,088 inmates in
Federal and State prisons were known to be infected with
HIV/AIDS. In 2000, HIV/AIDS accounted for more than 6 percent of all deaths in Federal and State prisons. Infection rates
for other sexually transmitted diseases, tuberculosis, and hepatitis B and C are also far greater for prisoners than for the
American population as a whole. Prison rape undermines the
public health by contributing to the spread of these diseases,
and often giving a potential death sentence to its victims.
(8) Prison rape endangers the public safety by making
brutalized inmates more likely to commit crimes when they
are released—as 600,000 inmates are each year.
(9) The frequently interracial character of prison sexual
assaults significantly exacerbates interracial tensions, both
within prison and, upon release of perpetrators and victims
from prison, in the community at large.
(10) Prison rape increases the level of homicides and other
violence against inmates and staff, and the risk of insurrections
and riots.
(11) Victims of prison rape suffer severe physical and
psychological effects that hinder their ability to integrate into
the community and maintain stable employment upon their
release from prison. They are thus more likely to become homeless and/or require government assistance.
(12) Members of the public and government officials are
largely unaware of the epidemic character of prison rape and
the day-to-day horror experienced by victimized inmates.
(13) The high incidence of sexual assault within prisons
involves actual and potential violations of the United States
Constitution. In Farmer v. Brennan, 511 U.S. 825 (1994), the
Supreme Court ruled that deliberate indifference to the
substantial risk of sexual assault violates prisoners’ rights
under the Cruel and Unusual Punishments Clause of the
Eighth Amendment. The Eighth Amendment rights of State
and local prisoners are protected through the Due Process
Clause of the Fourteenth Amendment. Pursuant to the power
of Congress under Section Five of the Fourteenth Amendment,
Congress may take action to enforce those rights in States
where officials have demonstrated such indifference. States that
do not take basic steps to abate prison rape by adopting standards that do not generate significant additional expenditures
demonstrate such indifference. Therefore, such States are not
entitled to the same level of Federal benefits as other States.
(14) The high incidence of prison rape undermines the
effectiveness and efficiency of United States Government
expenditures through grant programs such as those dealing
with health care; mental health care; disease prevention; crime
prevention, investigation, and prosecution; prison construction,

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117 STAT. 974

PUBLIC LAW 108–79—SEPT. 4, 2003
maintenance, and operation; race relations; poverty; unemployment and homelessness. The effectiveness and efficiency of
these federally funded grant programs are compromised by
the failure of State officials to adopt policies and procedures
that reduce the incidence of prison rape in that the high
incidence of prison rape—
(A) increases the costs incurred by Federal, State, and
local jurisdictions to administer their prison systems;
(B) increases the levels of violence, directed at inmates
and at staff, within prisons;
(C) increases health care expenditures, both inside and
outside of prison systems, and reduces the effectiveness
of disease prevention programs by substantially increasing
the incidence and spread of HIV, AIDS, tuberculosis, hepatitis B and C, and other diseases;
(D) increases mental health care expenditures, both
inside and outside of prison systems, by substantially
increasing the rate of post-traumatic stress disorder,
depression, suicide, and the exacerbation of existing mental
illnesses among current and former inmates;
(E) increases the risks of recidivism, civil strife, and
violent crime by individuals who have been brutalized by
prison rape; and
(F) increases the level of interracial tensions and strife
within prisons and, upon release of perpetrators and victims, in the community at large.
(15) The high incidence of prison rape has a significant
effect on interstate commerce because it increases
substantially—
(A) the costs incurred by Federal, State, and local
jurisdictions to administer their prison systems;
(B) the incidence and spread of HIV, AIDS, tuberculosis, hepatitis B and C, and other diseases, contributing
to increased health and medical expenditures throughout
the Nation;
(C) the rate of post-traumatic stress disorder, depression, suicide, and the exacerbation of existing mental illnesses among current and former inmates, contributing
to increased health and medical expenditures throughout
the Nation; and
(D) the risk of recidivism, civil strife, and violent crime
by individuals who have been brutalized by prison rape.

42 USC 15602.

SEC. 3. PURPOSES.

The purposes of this Act are to—
(1) establish a zero-tolerance standard for the incidence
of prison rape in prisons in the United States;
(2) make the prevention of prison rape a top priority in
each prison system;
(3) develop and implement national standards for the detection, prevention, reduction, and punishment of prison rape;
(4) increase the available data and information on the
incidence of prison rape, consequently improving the management and administration of correctional facilities;
(5) standardize the definitions used for collecting data on
the incidence of prison rape;

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PUBLIC LAW 108–79—SEPT. 4, 2003

117 STAT. 975

(6) increase the accountability of prison officials who fail
to detect, prevent, reduce, and punish prison rape;
(7) protect the Eighth Amendment rights of Federal, State,
and local prisoners;
(8) increase the efficiency and effectiveness of Federal
expenditures through grant programs such as those dealing
with health care; mental health care; disease prevention; crime
prevention, investigation, and prosecution; prison construction,
maintenance, and operation; race relations; poverty; unemployment; and homelessness; and
(9) reduce the costs that prison rape imposes on interstate
commerce.
SEC. 4. NATIONAL PRISON RAPE STATISTICS, DATA, AND RESEARCH.

42 USC 15603.

(a) ANNUAL COMPREHENSIVE STATISTICAL REVIEW.—
(1) IN GENERAL.—The Bureau of Justice Statistics of the
Department of Justice (in this section referred to as the
‘‘Bureau’’) shall carry out, for each calendar year, a comprehensive statistical review and analysis of the incidence and effects
of prison rape. The statistical review and analysis shall include,
but not be limited to the identification of the common characteristics of—
(A) both victims and perpetrators of prison rape; and
(B) prisons and prison systems with a high incidence
of prison rape.
(2) CONSIDERATIONS.—In carrying out paragraph (1), the
Bureau shall consider—
(A) how rape should be defined for the purposes of
the statistical review and analysis;
(B) how the Bureau should collect information about
staff-on-inmate sexual assault;
(C) how the Bureau should collect information beyond
inmate self-reports of prison rape;
(D) how the Bureau should adjust the data in order
to account for differences among prisons as required by
subsection (c)(3);
(E) the categorization of prisons as required by subsection (c)(4); and
(F) whether a preliminary study of prison rape should
be conducted to inform the methodology of the comprehensive statistical review.
(3) SOLICITATION OF VIEWS.—The Bureau of Justice Statistics shall solicit views from representatives of the following:
State departments of correction; county and municipal jails;
juvenile correctional facilities; former inmates; victim advocates; researchers; and other experts in the area of sexual
assault.
(4) SAMPLING TECHNIQUES.—The review and analysis under
paragraph (1) shall be based on a random sample, or other
scientifically appropriate sample, of not less than 10 percent
of all Federal, State, and county prisons, and a representative
sample of municipal prisons. The selection shall include at
least one prison from each State. The selection of facilities
for sampling shall be made at the latest practicable date prior
to conducting the surveys and shall not be disclosed to any
facility or prison system official prior to the time period studied
in the survey. Selection of a facility for sampling during any

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Attachment 1

117 STAT. 976

Confidentiality.

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PUBLIC LAW 108–79—SEPT. 4, 2003
year shall not preclude its selection for sampling in any subsequent year.
(5) SURVEYS.—In carrying out the review and analysis
under paragraph (1), the Bureau shall, in addition to such
other methods as the Bureau considers appropriate, use surveys
and other statistical studies of current and former inmates
from a sample of Federal, State, county, and municipal prisons.
The Bureau shall ensure the confidentiality of each survey
participant.
(6) PARTICIPATION IN SURVEY.—Federal, State, or local officials or facility administrators that receive a request from the
Bureau under subsection (a)(4) or (5) will be required to participate in the national survey and provide access to any inmates
under their legal custody.
(b) REVIEW PANEL ON PRISON RAPE.—
(1) ESTABLISHMENT.—To assist the Bureau in carrying out
the review and analysis under subsection (a), there is established, within the Department of Justice, the Review Panel
on Prison Rape (in this section referred to as the ‘‘Panel’’).
(2) MEMBERSHIP.—
(A) COMPOSITION.—The Panel shall be composed of
3 members, each of whom shall be appointed by the
Attorney General, in consultation with the Secretary of
Health and Human Services.
(B) QUALIFICATIONS.—Members of the Panel shall be
selected from among individuals with knowledge or expertise in matters to be studied by the Panel.
(3) PUBLIC HEARINGS.—
(A) IN GENERAL.—The duty of the Panel shall be to
carry out, for each calendar year, public hearings concerning the operation of the three prisons with the highest
incidence of prison rape and the two prisons with the
lowest incidence of prison rape in each category of facilities
identified under subsection (c)(4). The Panel shall hold
a separate hearing regarding the three Federal or State
prisons with the highest incidence of prison rape. The
purpose of these hearings shall be to collect evidence to
aid in the identification of common characteristics of both
victims and perpetrators of prison rape, and the identification of common characteristics of prisons and prison systems with a high incidence of prison rape, and the identification of common characteristics of prisons and prison
systems that appear to have been successful in deterring
prison rape.
(B) TESTIMONY AT HEARINGS.—
(i) PUBLIC OFFICIALS.—In carrying out the hearings
required under subparagraph (A), the Panel shall
request the public testimony of Federal, State, and
local officials (and organizations that represent such
officials), including the warden or director of each
prison, who bears responsibility for the prevention,
detection, and punishment of prison rape at each
entity, and the head of the prison system encompassing
such prison.
(ii) VICTIMS.—The Panel may request the testimony of prison rape victims, organizations representing

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PUBLIC LAW 108–79—SEPT. 4, 2003

117 STAT. 977

such victims, and other appropriate individuals and
organizations.
(C) SUBPOENAS.—
(i) ISSUANCE.—The Panel may issue subpoenas for
the attendance of witnesses and the production of written or other matter.
(ii) ENFORCEMENT.—In the case of contumacy or
refusal to obey a subpoena, the Attorney General may
in a Federal court of appropriate jurisdiction obtain
an appropriate order to enforce the subpoena.
(c) REPORTS.—
(1) IN GENERAL.—Not later than June 30 of each year,
the Attorney General shall submit a report on the activities
of the Bureau and the Review Panel, with respect to prison
rape, for the preceding calendar year to—
(A) Congress; and
(B) the Secretary of Health and Human Services.
(2) CONTENTS.—The report required under paragraph (1)
shall include—
(A) with respect to the effects of prison rape, statistical,
sociological, and psychological data;
(B) with respect to the incidence of prison rape—
(i) statistical data aggregated at the Federal, State,
prison system, and prison levels;
(ii) a listing of those institutions in the representative sample, separated into each category identified
under subsection (c)(4) and ranked according to the
incidence of prison rape in each institution; and
(iii) an identification of those institutions in the
representative sample that appear to have been
successful in deterring prison rape; and
(C) a listing of any prisons in the representative sample
that did not cooperate with the survey conducted pursuant
to section 4.
(3) DATA ADJUSTMENTS.—In preparing the information
specified in paragraph (2), the Attorney General shall use established statistical methods to adjust the data as necessary to
account for differences among institutions in the representative
sample, which are not related to the detection, prevention,
reduction and punishment of prison rape, or which are outside
the control of the State, prison, or prison system, in order
to provide an accurate comparison among prisons. Such differences may include the mission, security level, size, and jurisdiction under which the prison operates. For each such adjustment made, the Attorney General shall identify and explain
such adjustment in the report.
(4) CATEGORIZATION OF PRISONS.—The report shall divide
the prisons surveyed into three categories. One category shall
be composed of all Federal and State prisons. The other two
categories shall be defined by the Attorney General in order
to compare similar institutions.
(d) CONTRACTS AND GRANTS.—In carrying out its duties under
this section, the Attorney General may—
(1) provide grants for research through the National
Institute of Justice; and
(2) contract with or provide grants to any other entity
the Attorney General deems appropriate.

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Attachment 1

117 STAT. 978

PUBLIC LAW 108–79—SEPT. 4, 2003

(e) AUTHORIZATION OF APPROPRIATIONS.—There are authorized
to be appropriated $15,000,000 for each of fiscal years 2004 through
2010 to carry out this section.
42 USC 15604.
Establishment.

Deadline.

42 USC 15605.

SEC. 5. PRISON RAPE PREVENTION AND PROSECUTION.

(a) INFORMATION AND ASSISTANCE.—
(1) NATIONAL CLEARINGHOUSE.—There is established within
the National Institute of Corrections a national clearinghouse
for the provision of information and assistance to Federal,
State, and local authorities responsible for the prevention,
investigation, and punishment of instances of prison rape.
(2) TRAINING AND EDUCATION.—The National Institute of
Corrections shall conduct periodic training and education programs for Federal, State, and local authorities responsible for
the prevention, investigation, and punishment of instances of
prison rape.
(b) REPORTS.—
(1) IN GENERAL.—Not later than September 30 of each
year, the National Institute of Corrections shall submit a report
to Congress and the Secretary of Health and Human Services.
This report shall be available to the Director of the Bureau
of Justice Statistics.
(2) CONTENTS.—The report required under paragraph (1)
shall summarize the activities of the Department of Justice
regarding prison rape abatement for the preceding calendar
year.
(c) AUTHORIZATION OF APPROPRIATIONS.—There are authorized
to be appropriated $5,000,000 for each of fiscal years 2004 through
2010 to carry out this section.
SEC. 6. GRANTS TO PROTECT INMATES AND SAFEGUARD COMMUNITIES.

(a) GRANTS AUTHORIZED.—From amounts made available for
grants under this section, the Attorney General shall make grants
to States to assist those States in ensuring that budgetary circumstances (such as reduced State and local spending on prisons)
do not compromise efforts to protect inmates (particularly from
prison rape) and to safeguard the communities to which inmates
return. The purpose of grants under this section shall be to provide
funds for personnel, training, technical assistance, data collection,
and equipment to prevent and prosecute prisoner rape.
(b) USE OF GRANT AMOUNTS.—Amounts received by a grantee
under this section may be used by the grantee, directly or through
subgrants, only for one or more of the following activities:
(1) PROTECTING INMATES.—Protecting inmates by—
(A) undertaking efforts to more effectively prevent
prison rape;
(B) investigating incidents of prison rape; or
(C) prosecuting incidents of prison rape.
(2) SAFEGUARDING COMMUNITIES.—Safeguarding communities by—
(A) making available, to officials of State and local
governments who are considering reductions to prison
budgets, training and technical assistance in successful
methods for moderating the growth of prison populations
without compromising public safety, including successful
methods used by other jurisdictions;

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PUBLIC LAW 108–79—SEPT. 4, 2003

117 STAT. 979

(B) developing and utilizing analyses of prison populations and risk assessment instruments that will improve
State and local governments’ understanding of risks to
the community regarding release of inmates in the prison
population;
(C) preparing maps demonstrating the concentration,
on a community-by-community basis, of inmates who have
been released, to facilitate the efficient and effective—
(i) deployment of law enforcement resources
(including probation and parole resources); and
(ii) delivery of services (such as job training and
substance abuse treatment) to those released inmates;
(D) promoting collaborative efforts, among officials of
State and local governments and leaders of appropriate
communities, to understand and address the effects on
a community of the presence of a disproportionate number
of released inmates in that community; or
(E) developing policies and programs that reduce
spending on prisons by effectively reducing rates of parole
and probation revocation without compromising public
safety.
(c) GRANT REQUIREMENTS.—
(1) PERIOD.—A grant under this section shall be made
for a period of not more than 2 years.
(2) MAXIMUM.—The amount of a grant under this section
may not exceed $1,000,000.
(3) MATCHING.—The Federal share of a grant under this
section may not exceed 50 percent of the total costs of the
project described in the application submitted under subsection
(d) for the fiscal year for which the grant was made under
this section.
(d) APPLICATIONS.—
(1) IN GENERAL.—To request a grant under this section,
the chief executive of a State shall submit an application to
the Attorney General at such time, in such manner, and accompanied by such information as the Attorney General may
require.
(2) CONTENTS.—Each application required by paragraph
(1) shall—
(A) include the certification of the chief executive that
the State receiving such grant—
(i) has adopted all national prison rape standards
that, as of the date on which the application was
submitted, have been promulgated under this Act; and
(ii) will consider adopting all national prison rape
standards that are promulgated under this Act after
such date;
(B) specify with particularity the preventative, prosecutorial, or administrative activities to be undertaken by
the State with the amounts received under the grant; and
(C) in the case of an application for a grant for one
or more activities specified in paragraph (2) of subsection
(b)—
(i) review the extent of the budgetary circumstances affecting the State generally and describe
how those circumstances relate to the State’s prisons;

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117 STAT. 980

(ii) describe the rate of growth of the State’s prison
population over the preceding 10 years and explain
why the State may have difficulty sustaining that rate
of growth; and
(iii) explain the extent to which officials (including
law enforcement officials) of State and local governments and victims of crime will be consulted regarding
decisions whether, or how, to moderate the growth
of the State’s prison population.
(e) REPORTS BY GRANTEE.—
(1) IN GENERAL.—The Attorney General shall require each
grantee to submit, not later than 90 days after the end of
the period for which the grant was made under this section,
a report on the activities carried out under the grant. The
report shall identify and describe those activities and shall
contain an evaluation of the effect of those activities on—
(A) the number of incidents of prison rape, and the
grantee’s response to such incidents; and
(B) the safety of the prisons, and the safety of the
communities in which released inmates are present.
(2) DISSEMINATION.—The Attorney General shall ensure
that each report submitted under paragraph (1) is made available under the national clearinghouse established under section
5.
(f) STATE DEFINED.—In this section, the term ‘‘State’’ includes
the District of Columbia, the Commonwealth of Puerto Rico, and
any other territory or possession of the United States.
(g) AUTHORIZATION OF APPROPRIATIONS.—
(1) IN GENERAL.—There are authorized to be appropriated
for grants under this section $40,000,000 for each of fiscal
years 2004 through 2010.
(2) LIMITATION.—Of amounts made available for grants
under this section, not less than 50 percent shall be available
only for activities specified in paragraph (1) of subsection (b).

Deadline.

42 USC 15606.

President.

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PUBLIC LAW 108–79—SEPT. 4, 2003

SEC. 7. NATIONAL PRISON RAPE REDUCTION COMMISSION.

(a) ESTABLISHMENT.—There is established a commission to be
known as the National Prison Rape Reduction Commission (in
this section referred to as the ‘‘Commission’’).
(b) MEMBERS.—
(1) IN GENERAL.—The Commission shall be composed of
9 members, of whom—
(A) 3 shall be appointed by the President;
(B) 2 shall be appointed by the Speaker of the House
of Representatives, unless the Speaker is of the same party
as the President, in which case 1 shall be appointed by
the Speaker of the House of Representatives and 1 shall
be appointed by the minority leader of the House of Representatives;
(C) 1 shall be appointed by the minority leader of
the House of Representatives (in addition to any appointment made under subparagraph (B));
(D) 2 shall be appointed by the majority leader of
the Senate, unless the majority leader is of the same party
as the President, in which case 1 shall be appointed by
the majority leader of the Senate and 1 shall be appointed
by the minority leader of the Senate; and

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117 STAT. 981

(E) 1 member appointed by the minority leader of
the Senate (in addition to any appointment made under
subparagraph (D)).
(2) PERSONS ELIGIBLE.—Each member of the Commission
shall be an individual who has knowledge or expertise in matters to be studied by the Commission.
(3) CONSULTATION REQUIRED.—The President, the Speaker
and minority leader of the House of Representatives, and the
majority leader and minority leader of the Senate shall consult
with one another prior to the appointment of the members
of the Commission to achieve, to the maximum extent possible,
fair and equitable representation of various points of view
with respect to the matters to be studied by the Commission.
(4) TERM.—Each member shall be appointed for the life
of the Commission.
(5) TIME FOR INITIAL APPOINTMENTS.—The appointment of
the members shall be made not later than 60 days after the
date of enactment of this Act.
(6) VACANCIES.—A vacancy in the Commission shall be
filled in the manner in which the original appointment was
made, and shall be made not later than 60 days after the
date on which the vacancy occurred.
(c) OPERATION.—
(1) CHAIRPERSON.—Not later than 15 days after appointments of all the members are made, the President shall appoint
a chairperson for the Commission from among its members.
(2) MEETINGS.—The Commission shall meet at the call
of the chairperson. The initial meeting of the Commission shall
take place not later than 30 days after the initial appointment
of the members is completed.
(3) QUORUM.—A majority of the members of the Commission shall constitute a quorum to conduct business, but the
Commission may establish a lesser quorum for conducting
hearings scheduled by the Commission.
(4) RULES.—The Commission may establish by majority
vote any other rules for the conduct of Commission business,
if such rules are not inconsistent with this Act or other
applicable law.
(d) COMPREHENSIVE STUDY OF THE IMPACTS OF PRISON RAPE.—
(1) IN GENERAL.—The Commission shall carry out a comprehensive legal and factual study of the penalogical, physical,
mental, medical, social, and economic impacts of prison rape
in the United States on—
(A) Federal, State, and local governments; and
(B) communities and social institutions generally,
including individuals, families, and businesses within such
communities and social institutions.
(2) MATTERS INCLUDED.—The study under paragraph (1)
shall include—
(A) a review of existing Federal, State, and local
government policies and practices with respect to the
prevention, detection, and punishment of prison rape;
(B) an assessment of the relationship between prison
rape and prison conditions, and of existing monitoring,
regulatory, and enforcement practices that are intended
to address any such relationship;

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Deadline.

Deadline.
President.

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117 STAT. 982

(C) an assessment of pathological or social causes of
prison rape;
(D) an assessment of the extent to which the incidence
of prison rape contributes to the spread of sexually transmitted diseases and to the transmission of HIV;
(E) an assessment of the characteristics of inmates
most likely to commit prison rape and the effectiveness
of various types of treatment or programs to reduce such
likelihood;
(F) an assessment of the characteristics of inmates
most likely to be victims of prison rape and the effectiveness
of various types of treatment or programs to reduce such
likelihood;
(G) an assessment of the impacts of prison rape on
individuals, families, social institutions and the economy
generally, including an assessment of the extent to which
the incidence of prison rape contributes to recidivism and
to increased incidence of sexual assault;
(H) an examination of the feasibility and cost of conducting surveillance, undercover activities, or both, to
reduce the incidence of prison rape;
(I) an assessment of the safety and security of prison
facilities and the relationship of prison facility construction
and design to the incidence of prison rape;
(J) an assessment of the feasibility and cost of any
particular proposals for prison reform;
(K) an identification of the need for additional scientific
and social science research on the prevalence of prison
rape in Federal, State, and local prisons;
(L) an assessment of the general relationship between
prison rape and prison violence;
(M) an assessment of the relationship between prison
rape and levels of training, supervision, and discipline of
prison staff; and
(N) an assessment of existing Federal and State systems for reporting incidents of prison rape, including an
assessment of whether existing systems provide an adequate assurance of confidentiality, impartiality and the
absence of reprisal.
(3) REPORT.—
(A) DISTRIBUTION.—Not later than 2 years after the
date of the initial meeting of the Commission, the Commission shall submit a report on the study carried out under
this subsection to—
(i) the President;
(ii) the Congress;
(iii) the Attorney General;
(iv) the Secretary of Health and Human Services;
(v) the Director of the Federal Bureau of Prisons;
(vi) the chief executive of each State; and
(vii) the head of the department of corrections
of each State.
(B) CONTENTS.—The report under subparagraph (A)
shall include—
(i) the findings and conclusions of the Commission;
(ii) recommended national standards for reducing
prison rape;

Deadline.

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Attachment 1

PUBLIC LAW 108–79—SEPT. 4, 2003

117 STAT. 983

(iii) recommended protocols for preserving evidence
and treating victims of prison rape; and
(iv) a summary of the materials relied on by the
Commission in the preparation of the report.
(e) RECOMMENDATIONS.—
(1) IN GENERAL.—In conjunction with the report submitted
under subsection (d)(3), the Commission shall provide the
Attorney General and the Secretary of Health and Human
Services with recommended national standards for enhancing
the detection, prevention, reduction, and punishment of prison
rape.
(2) MATTERS INCLUDED.—The information provided under
paragraph (1) shall include recommended national standards
relating to—
(A) the classification and assignment of prisoners,
using proven standardized instruments and protocols, in
a manner that limits the occurrence of prison rape;
(B) the investigation and resolution of rape complaints
by responsible prison authorities, local and State police,
and Federal and State prosecution authorities;
(C) the preservation of physical and testimonial evidence for use in an investigation of the circumstances
relating to the rape;
(D) acute-term trauma care for rape victims, including
standards relating to—
(i) the manner and extent of physical examination
and treatment to be provided to any rape victim; and
(ii) the manner and extent of any psychological
examination, psychiatric care, medication, and mental
health counseling to be provided to any rape victim;
(E) referrals for long-term continuity of care for rape
victims;
(F) educational and medical testing measures for
reducing the incidence of HIV transmission due to prison
rape;
(G) post-rape prophylactic medical measures for
reducing the incidence of transmission of sexual diseases;
(H) the training of correctional staff sufficient to ensure
that they understand and appreciate the significance of
prison rape and the necessity of its eradication;
(I) the timely and comprehensive investigation of staff
sexual misconduct involving rape or other sexual assault
on inmates;
(J) ensuring the confidentiality of prison rape complaints and protecting inmates who make complaints of
prison rape;
(K) creating a system for reporting incidents of prison
rape that will ensure the confidentiality of prison rape
complaints, protect inmates who make prison rape complaints from retaliation, and assure the impartial resolution
of prison rape complaints;
(L) data collection and reporting of—
(i) prison rape;
(ii) prison staff sexual misconduct; and
(iii) the resolution of prison rape complaints by
prison officials and Federal, State, and local investigation and prosecution authorities; and

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Attachment 1

117 STAT. 984

PUBLIC LAW 108–79—SEPT. 4, 2003

(M) such other matters as may reasonably be related
to the detection, prevention, reduction, and punishment
of prison rape.
(3) LIMITATION.—The Commission shall not propose a recommended standard that would impose substantial additional
costs compared to the costs presently expended by Federal,
State, and local prison authorities.
(f) CONSULTATION WITH ACCREDITATION ORGANIZATIONS.—In
developing recommended national standards for enhancing the
detection, prevention, reduction, and punishment of prison rape,
the Commission shall consider any standards that have already
been developed, or are being developed simultaneously to the deliberations of the Commission. The Commission shall consult with
accreditation organizations responsible for the accreditation of Federal, State, local or private prisons, that have developed or are
currently developing standards related to prison rape. The Commission will also consult with national associations representing the
corrections profession that have developed or are currently developing standards related to prison rape.
(g) HEARINGS.—
(1) IN GENERAL.—The Commission shall hold public
hearings. The Commission may hold such hearings, sit and
act at such times and places, take such testimony, and receive
such evidence as the Commission considers advisable to carry
out its duties under this section.
(2) WITNESS EXPENSES.—Witnesses requested to appear
before the Commission shall be paid the same fees as are
paid to witnesses under section 1821 of title 28, United States
Code. The per diem and mileage allowances for witnesses shall
be paid from funds appropriated to the Commission.
(h) INFORMATION FROM FEDERAL OR STATE AGENCIES.—The
Commission may secure directly from any Federal department or
agency such information as the Commission considers necessary
to carry out its duties under this section. The Commission may
request the head of any State or local department or agency to
furnish such information to the Commission.
(i) PERSONNEL MATTERS.—
(1) TRAVEL EXPENSES.—The members of the Commission
shall be allowed travel expenses, including per diem in lieu
of subsistence, at rates authorized for employees of agencies
under subchapter I of chapter 57 of title 5, United States
Code, while away from their homes or regular places of business
in the performance of service for the Commission.
(2) DETAIL OF FEDERAL EMPLOYEES.—With the affirmative
vote of 2⁄3 of the Commission, any Federal Government
employee, with the approval of the head of the appropriate
Federal agency, may be detailed to the Commission without
reimbursement, and such detail shall be without interruption
or loss of civil service status, benefits, or privileges.
(3) PROCUREMENT OF TEMPORARY AND INTERMITTENT SERVICES.—Upon the request of the Commission, the Attorney General shall provide reasonable and appropriate office space, supplies, and administrative assistance.
(j) CONTRACTS FOR RESEARCH.—
(1) NATIONAL INSTITUTE OF JUSTICE.—With a 2⁄3 affirmative
vote, the Commission may select nongovernmental researchers
and experts to assist the Commission in carrying out its duties

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Attachment 1

PUBLIC LAW 108–79—SEPT. 4, 2003

117 STAT. 985

under this Act. The National Institute of Justice shall contract
with the researchers and experts selected by the Commission
to provide funding in exchange for their services.
(2) OTHER ORGANIZATIONS.—Nothing in this subsection
shall be construed to limit the ability of the Commission to
enter into contracts with other entities or organizations for
research necessary to carry out the duties of the Commission
under this section.
(k) SUBPOENAS.—
(1) ISSUANCE.—The Commission may issue subpoenas for
the attendance of witnesses and the production of written or
other matter.
(2) ENFORCEMENT.—In the case of contumacy or refusal
to obey a subpoena, the Attorney General may in a Federal
court of appropriate jurisdiction obtain an appropriate order
to enforce the subpoena.
(3) CONFIDENTIALITY OF DOCUMENTARY EVIDENCE.—Documents provided to the Commission pursuant to a subpoena
issued under this subsection shall not be released publicly
without the affirmative vote of 2⁄3 of the Commission.
(l) AUTHORIZATION OF APPROPRIATIONS.—There are authorized
to be appropriated such sums as may be necessary to carry out
this section.
(m) TERMINATION.—The Commission shall terminate on the
date that is 60 days after the date on which the Commission
submits the reports required by this section.
(n) EXEMPTION.—The Commission shall be exempt from the
Federal Advisory Committee Act.
SEC. 8. ADOPTION AND EFFECT OF NATIONAL STANDARDS.

(a) PUBLICATION OF PROPOSED STANDARDS.—
(1) FINAL RULE.—Not later than 1 year after receiving
the report specified in section 7(d)(3), the Attorney General
shall publish a final rule adopting national standards for the
detection, prevention, reduction, and punishment of prison rape.
(2) INDEPENDENT JUDGMENT.—The standards referred to
in paragraph (1) shall be based upon the independent judgment
of the Attorney General, after giving due consideration to the
recommended national standards provided by the Commission
under section 7(e), and being informed by such data, opinions,
and proposals that the Attorney General determines to be
appropriate to consider.
(3) LIMITATION.—The Attorney General shall not establish
a national standard under this section that would impose
substantial additional costs compared to the costs presently
expended by Federal, State, and local prison authorities. The
Attorney General may, however, provide a list of improvements
for consideration by correctional facilities.
(4) TRANSMISSION TO STATES.—Within 90 days of publishing
the final rule under paragraph (1), the Attorney General shall
transmit the national standards adopted under such paragraph
to the chief executive of each State, the head of the department
of corrections of each State, and to the appropriate authorities
in those units of local government who oversee operations in
one or more prisons.
(b) APPLICABILITY TO FEDERAL BUREAU OF PRISONS.—The
national standards referred to in subsection (a) shall apply to the

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Deadlines.
42 USC 15607.

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Attachment 1

117 STAT. 986

Deadline.

Procedures.

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PUBLIC LAW 108–79—SEPT. 4, 2003

Federal Bureau of Prisons immediately upon adoption of the final
rule under subsection (a)(4).
(c) ELIGIBILITY FOR FEDERAL FUNDS.—
(1) COVERED PROGRAMS.—
(A) IN GENERAL.—For purposes of this subsection, a
grant program is covered by this subsection if, and only
if—
(i) the program is carried out by or under the
authority of the Attorney General; and
(ii) the program may provide amounts to States
for prison purposes.
(B) LIST.—For each fiscal year, the Attorney General
shall prepare a list identifying each program that meets
the criteria of subparagraph (A) and provide that list to
each State.
(2) ADOPTION OF NATIONAL STANDARDS.—For each fiscal
year, any amount that a State would otherwise receive for
prison purposes for that fiscal year under a grant program
covered by this subsection shall be reduced by 5 percent, unless
the chief executive of the State submits to the Attorney
General—
(A) a certification that the State has adopted, and
is in full compliance with, the national standards described
in section 8(a); or
(B) an assurance that not less than 5 percent of such
amount shall be used only for the purpose of enabling
the State to adopt, and achieve full compliance with, those
national standards, so as to ensure that a certification
under subparagraph (A) may be submitted in future years.
(3) REPORT ON NONCOMPLIANCE.—Not later than September
30 of each year, the Attorney General shall publish a report
listing each grantee that is not in compliance with the national
standards adopted pursuant to section 8(a).
(4) COOPERATION WITH SURVEY.—For each fiscal year, any
amount that a State receives for that fiscal year under a
grant program covered by this subsection shall not be used
for prison purposes (and shall be returned to the grant program
if no other authorized use is available), unless the chief executive of the State submits to the Attorney General a certification
that neither the State, nor any political subdivision or unit
of local government within the State, is listed in a report
issued by the Attorney General pursuant to section 4(c)(2)(C).
(5) REDISTRIBUTION OF AMOUNTS.—Amounts under a grant
program not granted by reason of a reduction under paragraph
(2), or returned by reason of the prohibition in paragraph
(4), shall be granted to one or more entities not subject to
such reduction or such prohibition, subject to the other laws
governing that program.
(6) IMPLEMENTATION.—The Attorney General shall establish procedures to implement this subsection, including procedures for effectively applying this subsection to discretionary
grant programs.
(7) EFFECTIVE DATE.—
(A) REQUIREMENT OF ADOPTION OF STANDARDS.—The
first grants to which paragraph (2) applies are grants for
the second fiscal year beginning after the date on which
the national standards under section 8(a) are finalized.

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Attachment 1

PUBLIC LAW 108–79—SEPT. 4, 2003

117 STAT. 987

(B) REQUIREMENT FOR COOPERATION.—The first grants
to which paragraph (4) applies are grants for the fiscal
year beginning after the date of the enactment of this
Act.
SEC. 9. REQUIREMENT
THAT
ACCREDITATION
ADOPT ACCREDITATION STANDARDS.

ORGANIZATIONS

(a) ELIGIBILITY FOR FEDERAL GRANTS.—Notwithstanding any
other provision of law, an organization responsible for the accreditation of Federal, State, local, or private prisons, jails, or other penal
facilities may not receive any new Federal grants during any period
in which such organization fails to meet any of the requirements
of subsection (b).
(b) REQUIREMENTS.—To be eligible to receive Federal grants,
an accreditation organization referred to in subsection (a) must
meet the following requirements:
(1) At all times after 90 days after the date of enactment
of this Act, the organization shall have in effect, for each
facility that it is responsible for accrediting, accreditation standards for the detection, prevention, reduction, and punishment
of prison rape.
(2) At all times after 1 year after the date of the adoption
of the final rule under section 8(a)(4), the organization shall,
in addition to any other such standards that it may promulgate
relevant to the detection, prevention, reduction, and punishment of prison rape, adopt accreditation standards consistent
with the national standards adopted pursuant to such final
rule.
SEC. 10. DEFINITIONS.

42 USC 15608.

Deadlines.

42 USC 15609.

In this Act, the following definitions shall apply:
(1) CARNAL KNOWLEDGE.—The term ‘‘carnal knowledge’’
means contact between the penis and the vulva or the penis
and the anus, including penetration of any sort, however slight.
(2) INMATE.—The term ‘‘inmate’’ means any person incarcerated or detained in any facility who is accused of, convicted
of, sentenced for, or adjudicated delinquent for, violations of
criminal law or the terms and conditions of parole, probation,
pretrial release, or diversionary program.
(3) JAIL.—The term ‘‘jail’’ means a confinement facility
of a Federal, State, or local law enforcement agency to hold—
(A) persons pending adjudication of criminal charges;
or
(B) persons committed to confinement after adjudication of criminal charges for sentences of 1 year or less.
(4) HIV.—The term ‘‘HIV’’ means the human immunodeficiency virus.
(5) ORAL SODOMY.—The term ‘‘oral sodomy’’ means contact
between the mouth and the penis, the mouth and the vulva,
or the mouth and the anus.
(6) POLICE LOCKUP.—The term ‘‘police lockup’’ means a
temporary holding facility of a Federal, State, or local law
enforcement agency to hold—
(A) inmates pending bail or transport to jail;
(B) inebriates until ready for release; or
(C) juveniles pending parental custody or shelter placement.

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Attachment 1

117 STAT. 988

PUBLIC LAW 108–79—SEPT. 4, 2003
(7) PRISON.—The term ‘‘prison’’ means any confinement
facility of a Federal, State, or local government, whether
administered by such government or by a private organization
on behalf of such government, and includes—
(A) any local jail or police lockup; and
(B) any juvenile facility used for the custody or care
of juvenile inmates.
(8) PRISON RAPE.—The term ‘‘prison rape’’ includes the
rape of an inmate in the actual or constructive control of
prison officials.
(9) RAPE.—The term ‘‘rape’’ means—
(A) the carnal knowledge, oral sodomy, sexual assault
with an object, or sexual fondling of a person, forcibly
or against that person’s will;
(B) the carnal knowledge, oral sodomy, sexual assault
with an object, or sexual fondling of a person not forcibly
or against the person’s will, where the victim is incapable
of giving consent because of his or her youth or his or
her temporary or permanent mental or physical incapacity;
or
(C) the carnal knowledge, oral sodomy, sexual assault
with an object, or sexual fondling of a person achieved
through the exploitation of the fear or threat of physical
violence or bodily injury.
(10) SEXUAL ASSAULT WITH AN OBJECT.—The term ‘‘sexual
assault with an object’’ means the use of any hand, finger,
object, or other instrument to penetrate, however slightly, the
genital or anal opening of the body of another person.
(11) SEXUAL FONDLING.—The term ‘‘sexual fondling’’ means
the touching of the private body parts of another person
(including the genitalia, anus, groin, breast, inner thigh, or
buttocks) for the purpose of sexual gratification.
(12) EXCLUSIONS.—The terms and conditions described in
paragraphs (9) and (10) shall not apply to—
(A) custodial or medical personnel gathering physical
evidence, or engaged in other legitimate medical treatment,
in the course of investigating prison rape;
(B) the use of a health care provider’s hands or fingers
or the use of medical devices in the course of appropriate
medical treatment unrelated to prison rape; or

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Attachment 1

PUBLIC LAW 108–79—SEPT. 4, 2003

117 STAT. 989

(C) the use of a health care provider’s hands or fingers
and the use of instruments to perform body cavity searches
in order to maintain security and safety within the prison
or detention facility, provided that the search is conducted
in a manner consistent with constitutional requirements.
Approved September 4, 2003.

LEGISLATIVE HISTORY—S. 1435:
CONGRESSIONAL RECORD, Vol. 149 (2003):
July 21, considered and passed Senate.
July 25, considered and passed House.
WEEKLY COMPILATION OF PRESIDENTIAL DOCUMENTS, Vol. 39 (2003):
Sept. 4, Presidential statement.

Æ

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Attachment 2
Questionnaires

OMB No. 1121-0292: Approval Expires 04/30/2018
U.S. DEPARTMENT OF JUSTICE

SSV-1

FORM
(5-17-2017)

BUREAU OF JUSTICE STATISTICS

SURVEY OF SEXUAL VICTIMIZATION, 2016
Federal Bureau of Prisons
Summary Form

AND ACTING AS COLLECTION AGENT

U.S. DEPT. OF COMMERCE
Economics and Statistics Administration

U.S. CENSUS BUREAU

DATA SUPPLIED BY

TELEPHONE
E-MAIL
ADDRESS

City

Number and street or P.O. Box/Route Number
Area code

Number

FAX
NUMBER

State

▼

OFFICIAL
ADDRESS

Title

▼▼▼

Name

Area Code

ZIP Code
Number

(Please correct any error in name, mailing address, and ZIP Code)

What facilities are included in this data collection?
All confinement facilities operated by the Federal Bureau of
Prisons.
• INCLUDE prisons, penitentiaries, and correctional
institutions; boot camps; community correction facilities;
halfway houses; prison farms; reception, diagnostic, and
classification centers; road camps; forestry and
conservation camps; vocational training facilities; prison
hospitals; and drug and alcohol treatment facilities for
prisoners.
• EXCLUDE privately-operated facilities. (These
facilities will be contacted directly for data on
sexual victimization.)
What inmates and incidents are included in this
data collection?
Inmates under your custody between January 1, 2016, and
December 31, 2016.
• INCLUDE incidents involving inmates under the
authority, custody, or care of your confinement or
community-based facilities or staff.
• EXCLUDE incidents involving inmates held in
local jails and facilities in other jurisdictions.

Reporting instructions:
•
•
•
•

Please complete the entire SSV-1 Form.
If the answer to a question is "not available" or "unknown,"
write "DK" (do not know) in the space provided.
If the answer to a question is "not applicable," write "NA"
in the space provided.
If the answer to a question is "none" or "0," mark the
box ( X ) provided.

Substantiated incidents of sexual violence:
• Please complete an Incident Form (Adult, SSV-IA)
for each substantiated incident of sexual victimization.
Returning forms:
• If you need assistance, please call Greta Clark at the
U.S. Census Bureau toll–free at 1–800–253–2078, or
e-mail [email protected]
• Please return your completed summary
and substantiated incident forms by August 15,
2017.
• You may complete these forms online (see
enclosed instructions). Or if you prefer, you may
return these forms by mail or fax.
• MAIL TO: U.S. Census Bureau, P.O. Box 5000,
Jeffersonville, IN 47199-5000
• FAX (TOLL FREE): 1–888–262–3974

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 60 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.

Section I – INMATE–ON–INMATE SEXUAL VICTIMIZATION
DEFINITIONS

1. Does the Federal Bureau of Prisons record
allegations of inmate-on-inmate
NONCONSENSUAL SEXUAL ACTS?
01

The survey utilizes the definition of “sexual abuse” as
provided by 28 C.F.R. §115.6 in the National Standards to
Prevent, Detect, and Respond to Prison Rape (under the
Prison Rape Elimination Act of 2003). For purposes of SSV,
sexual abuse is disaggregated into three categories of
inmate-on-inmate sexual victimization. These categories are:

Yes ➔ a. Do you record all reported
occurrences, or only substantiated
ones?
01
All
02

Substantiated only

b. Do you record attempted
NONCONSENSUAL SEXUAL ACTS
or only completed ones?

NONCONSENSUAL SEXUAL ACTS
Sexual contact of any person without his or her consent,
or of a person who is unable to consent or refuse;
AND

02

No

01

Both attempted and completed

02

Completed only

➔ Please provide the definition used by the
Federal Bureau of Prisons for
inmate-on-inmate NONCONSENSUAL
SEXUAL ACTS in the space below. Use that
definition to complete Items 2 and 3.

• Contact between the penis and the vulva or the penis
and the anus including penetration, however slight;
OR
• Contact between the mouth and the penis, vulva, or
anus;
OR
• Penetration of the anal or genital opening of another
person, however slight, by a hand, finger, object, or
other instrument.

2. Between January 1, 2016, and December 31, 2016,
how many allegations of inmate-on-inmate
NONCONSENSUAL SEXUAL ACTS were reported?

ABUSIVE SEXUAL CONTACT
Number reported . . . . . .
Sexual contact of any person without his or her consent,
or of a person who is unable to consent or refuse;

• If an allegation involved multiple victimizations,
count only once.
• Exclude any allegations that were reported as
consensual.

AND
• Intentional touching, either directly or through the
clothing, of the genitalia, anus, groin, breast, inner thigh,
or buttocks of any person.
• EXCLUDE incidents in which the contact was incidental
to a physical altercation.

None

3. Of the allegations reported in Item 2, how
many were — (Please contact the agency or office
responsible for investigating allegations of sexual
victimization in order to fully complete this form.)
a. Substantiated . . . . . . .

SEXUAL HARASSMENT

None

• The event was investigated and determined to
have occurred, based on a preponderance of the
evidence (28 C.F.R. §115.72).

Repeated and unwanted sexual advances, requests for
sexual favors, or verbal comments, gestures, or actions
of a derogatory or offensive sexual nature by one inmate
directed toward another.

b. Unsubstantiated . . . . .

None

• The investigation concluded that evidence was
insufficient to determine whether or not the event
occurred.
c. Unfounded . . . . . . . . . .

None

• The investigation determined that the event did NOT
occur.
d. Investigation ongoing .

None

• Evidence is still being gathered, processed
or evaluated, and a final determination has not yet
been made.
e. TOTAL (Sum of Items
3a through 3d) . . . . . . . . .

None

• The total should equal the number reported in Item 2.
FORM SSV-1 (5-17-2017)

Page 2

7. Does the Federal Bureau of Prisons record
allegations of inmate-on-inmate SEXUAL
HARASSMENT? (See definitions on page 2.)

4. Does the Federal Bureau of Prisons record
allegations of inmate-on-inmate ABUSIVE
SEXUAL CONTACT? (See definitions on page 2.)
01

Yes

➔ Can these be counted separately from

01

allegations of NONCONSENSUAL
SEXUAL ACTS?
01
02

02

No

Yes

Yes
No ➔ Skip to Item 7.

➔ Please provide an explanation in the space

02

below and then skip to Item 7.

.....

allegations or only substantiated
ones?
01

All

02

Substantiated only

➔ Please provide an explanation in the space
below and then skip to Section II.

5. Between January 1, 2016, and December 31, 2016,
how many allegations of inmate-on-inmate
ABUSIVE SEXUAL CONTACT were reported?

Number reported

No

➔ Do you record all reported

8. Between January 1, 2016, and December 31, 2016,
how many allegations of inmate-on-inmate
SEXUAL HARASSMENT were reported?

Number reported . . . . . .

None

None

• If an allegation involved multiple victimizations,
count only once.

• If an allegation involved multiple victims or
inmate perpetrators, count only once.

• Exclude any allegations that were reported as
consensual.

• Exclude any allegations that were reported as
consensual.

6. Of the allegations reported in Item 5, how
many were — (Please contact the agency or office
responsible for investigating allegations of sexual
victimization in order to fully complete this form.)

9. Of the allegations reported in Item 8, how
many were — (Please contact the agency or office
responsible for investigating allegations of sexual
victimization in order to fully complete this form.)

a. Substantiated . . . . . . .

None

a. Substantiated

b. Unsubstantiated . . . . .

None

b. Unsubstantiated

.....

None

c. Unfounded

None

c. Unfounded . . . . . . . . . .

None

d. Investigation ongoing

None

d. Investigation ongoing .

None

e. TOTAL (Sum of Items
6a through 6d) . . . . . . . . .

None

e. TOTAL (Sum of Items
9a through 9d) . . . . . . . . .

None

.........

None

• The total should equal the number reported in
Item 8.

• The total should equal the number reported in
Item 5.

FORM SSV-1 (5-17-2017)

.......

Page 3

SECTION II – STAFF-ON-INMATE SEXUAL ABUSE
DEFINITIONS

10. Does the Federal Bureau of Prisons
record allegations of STAFF SEXUAL
MISCONDUCT?

The survey utilizes the definition of “sexual abuse” by a staff
member, contractor or volunteer as provided by 28 C.F.R.
§115.6 in the National Standards to Prevent, Detect, and
Respond to Prison Rape (under the Prison Rape Elimination
Act of 2003). For purposes of SSV, sexual abuse is
disaggregated into two categories of staff-on-inmate sexual
abuse. These categories are:

01

STAFF SEXUAL MISCONDUCT

02

Yes

No

➔ Do you record all reported

occurrences, or only substantiated
ones?
01

All

02

Substantiated only

➔ Please provide an explanation in the space
below and then skip to Item 13.

Any behavior or act of a sexual nature directed toward an
inmate by an employee, volunteer, contractor, official visitor or
other agency representative (exclude family, friends or other
visitors).
Sexual relationships of a romantic nature between staff and
inmates are included in this definition. Consensual or
nonconsensual sexual acts include—
• Intentional touching, either directly or through the clothing,
of the genitalia, anus, groin, breast, inner thigh, or buttocks
that is unrelated to official duties or with the intent to abuse,
arouse, or gratify sexual desire;
OR
• Completed, attempted, threatened, or requested sexual acts;

11. Between January 1, 2016, and
December 31, 2016, how many allegations of
STAFF SEXUAL MISCONDUCT were reported?

OR

Number reported

• Occurrences of indecent exposure, invasion of privacy,
or staff voyeurism for reasons unrelated to official duties
or for sexual gratification.

......

None

• If an allegation involved multiple victimizations,
count only once.

STAFF SEXUAL HARASSMENT
Repeated verbal statements, comments or gestures of a sexual
nature to an inmate by an employee, volunteer, contractor,
official visitor, or other agency representative (exclude family,
friends, or other visitors). Include—

12. Of the allegations reported in Item 11, how
many were — (Please contact the agency or office
responsible for investigating allegations of sexual
victimization in order to fully complete this form.)

• Demeaning references to gender; or sexually suggestive
or derogatory comments about body or clothing;
OR
• Repeated profane or obscene language or gestures.

a. Substantiated . . . . . . .

None

b. Unsubstantiated . . . . .

None

c. Unfounded

.........

None

d. Investigation ongoing .

None

e. TOTAL (Sum of Items
12a through 12d) . . . . . . .

None

• The total should equal the number reported in
Item 11.

FORM SSV-1 (5-17-2017)

Page 4

Section III – TOTAL SUBSTANTIATED
INCIDENTS OF SEXUAL VICTIMIZATION

13. Does the Federal Bureau of Prisons record
allegations of STAFF SEXUAL HARASSMENT?
(See definitions on page 4.)
01

Yes

➔ Can these allegations be counted

16. What is the total number of substantiated
incidents reported Items 3a, 6a, 9a, 12a, and 15a?

separately from allegations of STAFF
SEXUAL MISCONDUCT?

02

No

01

Yes

02

No

➔ Skip to Item 16.

Total substantiated
incidents . . . . . . . . . . . . .

➔

➔ Please provide an explanation in the space

Please complete a Substantiated Incident
Form (Adult, SSV-IA) for each substantiated
incident of sexual victimization.

below and then skip to Item 16.

NOTES

14. Between January 1, 2016, and
December 31, 2016, how many allegations
of STAFF SEXUAL HARASSMENT were
reported?
Number reported

......

None

• If an allegation involved multiple victims or staff,
count only once.
15. Of the allegations reported in Item 14, how
many were — (Please contact the agency or office
responsible for investigating allegations of sexual
victimization in order to fully complete this form.)

a. Substantiated . . . . . . .

None

b. Unsubstantiated

....

None

.........

None

d. Investigation ongoing .

None

e. TOTAL (Sum of Items
15a through 15d) . . . . . . .

None

c. Unfounded

• The total should equal the number reported in
Item 14.

FORM SSV-1 (5-17-2017)

Page 5

None

OMB No. 1121-0292: Approval Expires 04/30/2018
U.S. DEPARTMENT OF JUSTICE

SSV-2

FORM
(5-17-2017)

BUREAU OF JUSTICE STATISTICS

SURVEY OF SEXUAL VICTIMIZATION, 2016
State Prison Systems
Summary Form

AND ACTING AS COLLECTION AGENT

U.S. DEPT. OF COMMERCE
Economics and Statistics Administration

U.S. CENSUS BUREAU

DATA SUPPLIED BY

TELEPHONE
E-MAIL
ADDRESS

City

Number and street or P.O. Box/Route Number
Area code

Number

FAX
NUMBER

State

▼

OFFICIAL
ADDRESS

Title

▼▼▼

Name

Area Code

ZIP Code
Number

(Please correct any error in name, mailing address, and ZIP Code)

What facilities are included in this data collection?
All State-operated confinement facilities that are intended for
adults but sometimes hold juveniles.
• INCLUDE prisons, penitentiaries, and correctional
institutions; boot camps; community correction facilities;
halfway houses; prison farms; reception, diagnostic, and
classification centers; road camps; forestry and
conservation camps; vocational training facilities; prison
hospitals; and drug and alcohol treatment facilities for
prisoners.
• INCLUDE State-operated local detention facilities in
Alaska, Connecticut, Delaware, Hawaii, Rhode Island,
and Vermont.
• EXCLUDE privately operated facilities and
facilities operated and administered by local
governments. (These facilities will be
contacted directly for data on sexual
victimization.)
• EXCLUDE facilities that hold only juveniles. (These
facilities will be contacted directly for data on sexual
victimization.)
What inmates and incidents are included in this
data collection?
Inmates under your custody between January 1, 2016, and
December 31, 2016.
• INCLUDE incidents involving inmates under the
authority, custody, or care of your confinement or
community-based facilities or staff.

Reporting instructions:
•
•

Please complete the entire SSV-2 Form.
If the answer to a question is "not available" or "unknown,"
write "DK" (do not know) in the space provided.
• If the answer to a question is "not applicable," write "NA"
in the space provided.
• If the answer to a question is "none" or "0," mark the
box ( X ) provided.
Substantiated incidents of sexual violence:
• Please complete an Incident Form (Adult, SSV-IA)
for each substantiated incident of sexual victimization.
Returning forms:
• If you need assistance, please call Greta Clark at the
U.S. Census Bureau toll–free at 1–800–253–2078, or
e-mail [email protected]
• Please return your completed summary and
substantiated incident forms by August 15,
2017.
• You may complete these forms online (see
enclosed instructions.) Or if you prefer, you may
return these forms by mail or fax.
• MAIL TO: U.S. Census Bureau, P.O. Box 5000,
Jeffersonville, IN 47199-5000
• FAX (TOLL FREE): 1–888–262–3974

• EXCLUDE incidents involving inmates held in
local jails and facilities in other jurisdictions.
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 60 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.

Section I – INMATE–ON–INMATE SEXUAL VICTIMIZATION 1. Does your State prison system record
allegations of inmate-on-inmate
NONCONSENSUAL SEXUAL ACTS?
DEFINITIONS
Yes ➔ a. Do you record all reported
01
occurrences, or only substantiated
The survey utilizes the definition of “sexual abuse” as
ones?
provided by 28 C.F.R. §115.6 in the National Standards to
Prevent, Detect, and Respond to Prison Rape (under the
01
All
Prison Rape Elimination Act of 2003). For purposes of SSV,
sexual abuse is disaggregated into three categories of
02
Substantiated only
inmate-on-inmate sexual victimization. These categories are:
b. Do you record attempted
NONCONSENSUAL SEXUAL ACTS
or only completed ones?

NONCONSENSUAL SEXUAL ACTS
Sexual contact of any person without his or her consent,
or of a person who is unable to consent or refuse;
AND
• Contact between the penis and the vulva or the penis
and the anus including penetration, however slight;

02

No

01

Both attempted and completed

02

Completed only

➔ Please provide the definition used by your
State prison system for inmate-on-inmate
NONCONSENSUAL SEXUAL ACTS in the
space below. Use that definition to complete
Items 2 and 3.

OR
• Contact between the mouth and the penis, vulva, or
anus;
OR
• Penetration of the anal or genital opening of another
person, however slight, by a hand, finger, object, or
other instrument.
ABUSIVE SEXUAL CONTACT

2. Between January 1, 2016, and December 31, 2016,
how many allegations of inmate-on-inmate
NONCONSENSUAL SEXUAL ACTS were reported?

Sexual contact of any person without his or her consent,
or of a person who is unable to consent or refuse;

Number reported . . . . . .
None
• If an allegation involved multiple victimizations,
count only once.

AND
• Intentional touching, either directly or through the
clothing, of the genitalia, anus, groin, breast, inner thigh,
or buttocks of any person.
• EXCLUDE incidents in which the contact was incidental
to a physical altercation.

• Exclude any allegations that were reported as
consensual.
3. Of the allegations reported in Item 2, how
many were — (Please contact the agency or office
responsible for investigating allegations of sexual
victimization in order to fully complete this form.)

SEXUAL HARASSMENT
Repeated and unwanted sexual advances, requests for
sexual favors, or verbal comments, gestures, or actions
of a derogatory or offensive sexual nature by one inmate
directed toward another.

a. Substantiated

None

......

• The event was investigated and determined to
have occurred, based on a preponderance of the
evidence (28 C.F.R. §115.72).
b. Unsubstantiated

None

....

• The investigation concluded that evidence was
insufficient to determine whether or not the event
occurred.
None

c. Unfounded . . . . . . . . .

• The investigation determined that the event did NOT
occur.
d. Investigation ongoing

.

None

• Evidence is still being gathered, processed or evaluated,
and a final determination has not yet been made.
e. TOTAL (Sum of Items
3a through 3d) . . . . . . . .

None

• The total should equal the number reported in Item 2.
FORM SSV-2 (5-17-2017)

Page 2

7. Does your State prison system record
allegations of inmate-on-inmate SEXUAL
HARASSMENT? (See definitions on page 2.)

4. Does your State prison system record
allegations of inmate-on-inmate ABUSIVE
SEXUAL CONTACT? (See definitions on page 2.)
01

Yes

➔ Can these be counted separately from

01

Yes

allegations of NONCONSENSUAL
SEXUAL ACTS?
01
02
02

No

Yes
No ➔ Skip to Item 7.

➔ Please provide an explanation in the space

02

below and then skip to Item 7.

No

➔ Do you record all reported

allegations or only substantiated
ones?
01

All

02

Substantiated only

➔ Please provide an explanation in the space
below and then skip to Section II.

5. Between January 1, 2016, and December 31, 2016,
how many allegations of inmate-on-inmate
ABUSIVE SEXUAL CONTACT were reported?

8. Between January 1, 2016, and December 31, 2016,
how many allegations of inmate-on-inmate
SEXUAL HARASSMENT were reported?

Number reported . . . . . .
None
• If an allegation involved multiple victimizations,
count only once.

Number reported . . . . . .
• If an allegation involved multiple victims or
inmate perpetrators, count only once.

• Exclude any allegations that were reported as
consensual.

• Exclude any allegations that were reported as
consensual.

6. Of the allegations reported in Item 5, how
many were — (Please contact the agency or office
responsible for investigating allegations of sexual
victimization in order to fully complete this form.)

9. Of the allegations reported in Item 8, how
many were — (Please contact the agency or office
responsible for investigating allegations of sexual
victimization in order to fully complete this form.)

None

None

a. Substantiated . . . . . . .

None

a. Substantiated

b. Unsubstantiated . . . . .

None

b. Unsubstantiated

....

None

c. Unfounded

.........

None

c. Unfounded . . . . . . . . .

None

d. Investigation ongoing .

None

d. Investigation ongoing

e. TOTAL (Sum of Items
6a through 6d) . . . . . . . . .

None

e. TOTAL (Sum of Items
9a through 9d) . . . . . . . .

.

None

None

• The total should equal the number reported in
Item 8.

• The total should equal the number reported in
Item 5.

FORM SSV-2 (5-17-2017)

......

Page 3

SECTION II – STAFF-ON-INMATE SEXUAL ABUSE 10. Does your State prison system record
allegations of STAFF SEXUAL
MISCONDUCT?

DEFINITIONS
The survey utilizes the definition of “sexual abuse” by a staff
member, contractor or volunteer as provided by 28 C.F.R.
§115.6 in the National Standards to Prevent, Detect, and
Respond to Prison Rape (under the Prison Rape Elimination
Act of 2003). For purposes of SSV, sexual abuse is
disaggregated into two categories of staff-on-inmate sexual
abuse. These categories are:

01

STAFF SEXUAL MISCONDUCT

02

Yes

No

➔ Do you record all reported

occurrences, or only substantiated
ones?
01

All

02

Substantiated only

➔ Please provide an explanation in the space
below and then skip to Item 13.

Any behavior or act of sexual nature directed toward an inmate
by an employee, volunteer, contractor, official visitor or other
agency representative (exclude family, friends or other visitors).
Sexual relationships of a romantic nature between staff and
inmates are included in this definition. Consensual or
nonconsensual sexual acts include—
• Intentional touching, either directly or through the clothing,
of the genitalia, anus, groin, breast, inner thigh, or buttocks
that is unrelated to official duties or with the intent to abuse,
arouse, or gratify sexual desire;
OR
• Completed, attempted, threatened, or requested sexual acts;

11. Between January 1, 2016, and
December 31, 2016, how many allegations of
STAFF SEXUAL MISCONDUCT were reported?
Number reported . . . . . . .
None
• If an allegation involved multiple victimizations,
count only once.

OR
• Occurrences of indecent exposure, invasion of privacy,
or staff voyeurism for reasons unrelated to official duties
or for sexual gratification.
STAFF SEXUAL HARASSMENT
Repeated verbal statements, comments or gestures of a sexual
nature to an inmate by an employee, volunteer, contractor,
official visitor, or other agency representative (exclude family,
friends, or other visitors). Include—

12. Of the allegations reported in Item 11, how
many were — (Please contact the agency or office
responsible for investigating allegations of sexual
victimization in order to fully complete this form.)

a. Substantiated . . . . . . .

None

b. Unsubstantiated . . . . .

None

c. Unfounded . . . . . . . . . .

None

d. Investigation ongoing .

None

e. TOTAL (Sum of Items
12a through 12d) . . . . . . .

None

• Demeaning references to gender; or sexually suggestive
or derogatory comments about body or clothing;
OR
• Repeated profane or obscene language or gestures.

• The total should equal the number reported in
Item 11.

FORM SSV-2 (5-17-2017)

Page 4

13. Does your State prison system record
allegations of STAFF SEXUAL HARASSMENT?
(See definitions on page 4.)
01

Yes

➔ Can these allegations be counted

Section III – PRIVATE AND LOCAL ALLEGATIONS

separately from allegations of STAFF
SEXUAL MISCONDUCT?

02

No

01

Yes

02

No

➔ Skip to Item 16.

➔ Please provide an explanation in the space

16. Did any of the allegations reported in Items 2,
5, 8, 11, or 14 occur in a privately operated
facility?
01

Yes

02

No

17. Did any of the allegations reported in Items 2,
5, 8, 11, or 14 occur in a facility operated and
administered by local governments?

below and then skip to Item 16.

01

Yes

02

No
Section IV – TOTAL SUBSTANTIATED
INCIDENTS OF SEXUAL VICTIMIZATION

18. What is the total number of substantiated
incidents reported in Items 3a, 6a, 9a, 12a, and
15a?
Total substantiated
incidents . . . . . . . . . . . .
14. Between January 1, 2016, and
December 31, 2016, how many allegations
of STAFF SEXUAL HARASSMENT were
reported?

➔

15. Of the allegations reported in Item 14, how
many were — (Please contact the agency or office
responsible for investigating allegations of sexual
victimization in order to fully complete this form.)

......

None

b. Unsubstantiated . . . .

None

c. Unfounded . . . . . . . . .

None

d. Investigation ongoing .

None

e. TOTAL (Sum of Items
15a through 15d) . . . . . .

None

a. Substantiated

• The total should equal the number reported in
Item 14.

FORM SSV-2 (5-17-2017)

Please complete a Substantiated Incident
Form (Adult, SSV-IA) for each substantiated
incident of sexual victimization.

NOTES

Number reported . . . . . .
None
• If an allegation involved multiple victims or staff,
count only once.

Page 5

None

OMB No. 1121-0292: Approval Expires 04/30/2018
U.S. DEPARTMENT OF JUSTICE

SSV-3

FORM
(4-26-2017)

SURVEY OF SEXUAL VICTIMIZATION, 2016
Local Jail Jurisdictions
Summary Form

BUREAU OF JUSTICE STATISTICS
AND ACTING AS COLLECTION AGENT

U.S. DEPT. OF COMMERCE
Economics and Statistics Administration

U.S. CENSUS BUREAU

DATA SUPPLIED BY

TELEPHONE
E-MAIL
ADDRESS

City

Number and street or P.O. Box/Route Number
Area code

Number

FAX
NUMBER

State

▼

OFFICIAL
ADDRESS

Title

▼▼▼

Name

Area Code

ZIP Code
Number

(Please correct any error in name, mailing address, and ZIP Code)

What facilities are included in this data collection?
All confinement facilities usually operated by a local law
enforcement agency that are intended for adults but
sometimes hold juveniles.
• INCLUDE all jails and city/county correctional centers
that hold inmates beyond arraignment. Report on ALL
inmates, including those held in separate holding or
lockup areas within your facility.
• INCLUDE multi-jurisdictional facilities (e.g., regional jails).
• INCLUDE special jail facilities (e.g., medical/treatment/
release centers, halfway houses, and work farms).
• EXCLUDE privately-operated jails. (These
facilities will be contacted directly for data on
sexual victimization.)
What inmates and incidents are included in this
data collection?
Inmates under your custody between January 1, 2016, and
December 31, 2016.
• INCLUDE incidents involving inmates under the
authority, custody, or care of your confinement or
community-based facilities or staff.
• EXCLUDE inmates held in other jurisdictions.

Reporting instructions:
•

Please complete the entire SSV-3 Form.

•

If the answer to a question is "not available" or "unknown,"
write "DK" (do not know) in the space provided.
If the answer to a question is "not applicable," write "NA"
in the space provided.

•
•

Section I: when exact numeric answers are not available,
provide estimates and mark ( X ) the box beside each
figure.

•

Sections II, III, and IV: if the answer to a question is
"none" or "zero," write "0" or mark the box ( X )
provided.
Substantiated incidents of sexual violence:
•

Please complete an Incident Form (Adult, SSV-IA)
for each substantiated incident of sexual victimization.

Returning forms:
• If you need assistance, please call Greta Clark at the
U.S. Census Bureau toll–free at 1–888–369–3613,
option 2, or e-mail [email protected]
• Please return your completed summary
and substantiated incident forms by
August 1, 2017.
• You may complete these forms online (see
enclosed instructions). Or if you prefer, you may
return these forms by mail or fax.
• MAIL TO: U.S. Census Bureau, P.O. Box 5000,
Jeffersonville, IN 47199-5000
• FAX (TOLL FREE): 1–888–262–3974

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 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.

Section I – GENERAL INFORMATION

Section II – INMATE-ON-INMATE SEXUAL VICTIMIZATION

1. How many persons under the supervision of your
local jail jurisdiction were—

DEFINITIONS
The survey utilizes the definition of “sexual abuse” as
provided by 28 C.F.R. §115.6 in the National Standards
to Prevent, Detect, and Respond to Prison Rape (under
the Prison Rape Elimination Act of 2003). For purposes
of SSV, sexual abuse is disaggregated into three
categories of inmate-on-inmate sexual victimization.
These categories are:

a. CONFINED in your jail facilities on
December 31, 2016?
• INCLUDE persons on transfer to treatment facilities
but who remain under your jurisdiction.
• INCLUDE persons out to court while under your
jurisdiction.

NONCONSENSUAL SEXUAL ACTS

• INCLUDE persons held for other jurisdictions.

Sexual contact of any person without his or her consent,
or of a person who is unable to consent or refuse;

• EXCLUDE persons housed in facilities operated by
two or more jurisdictions or those held in
privately-operated jails.

AND

• EXCLUDE inmates on AWOL, escape, or long-term
transfer to other jurisdictions.

• Contact between the penis and the vulva or the penis
and the anus including penetration, however slight;

• EXCLUDE all persons in non-residential
community-based programs run by your jail (e.g.,
electronic monitoring, house arrest, community
service, day reporting, work programs).

OR
• Contact between the mouth and the penis, vulva, or
anus;
OR

Male

Female

• Penetration of the anal or genital opening of another
person, however slight, by a hand, finger, object, or other
instrument.

Inmates on
December 31, 2016 . . .

ABUSIVE SEXUAL CONTACT
b. ADMITTED to your jail facilities during 2016?
• INCLUDE new admissions only, i.e., persons officially
booked into and housed in your facilities by formal legal
document and by the authority of the courts or some
other official agency.
• INCLUDE repeat offenders booked on new charges.
• EXCLUDE returns from escape, work release, medical
appointments/treatment facilities, and bail or court
appearances.
Male

AND
• Intentional touching, either directly or through the clothing,
of the genitalia, anus, groin, breast, inner thigh, or
buttocks of any person.
• EXCLUDE incidents in which the contact was incidental
to a physical altercation.
SEXUAL HARASSMENT

Female

Repeated and unwelcome sexual advances, requests
for sexual favors, or verbal comments, gestures, or
actions of a derogatory or offensive sexual nature by
one inmate directed toward another.

New admissions
during 2016 . . . . . . . . .

2. Between January 1, 2016, and
December 31, 2016, what was the average
daily population of all jail confinement
facilities operated by your jurisdiction?
• To calculate the average daily population, add the
number of persons for each day during the period
January 1, 2016, through December 31, 2016, and
divide the result by 365.
Male

Female

Average daily
population . . . . . . . . . . .

FORM SSV-3 (4-26-2017)

Sexual contact of any person without his or her consent,
or of a person who is unable to consent or refuse;

Page 2

3. Does your local jail jurisdiction record allegations
of inmate-on-inmate NONCONSENSUAL SEXUAL
ACTS? (See definitions on page 2.)
Yes ➔ a. Do you record all reported
01
occurrences, or only substantiated
ones?

6. Does your local jail jurisdiction record
allegations of inmate-on-inmate ABUSIVE
SEXUAL CONTACT? (See definitions on page 2.)
01

No

➔ Can these be counted separately from
allegations of NONCONSENSUAL
SEXUAL ACTS?

01

All

01

02

Substantiated only

02

b. Do you record attempted
NONCONSENSUAL SEXUAL ACTS or
only completed ones?

02

Yes

01

Both attempted and completed

02

Completed only

02

No

➔

Yes
No ➔ Skip to Item 9.

Please provide an explanation in the space
below and then skip to Item 9.

➔ Please provide the definition used by your

local jail jurisdiction for inmate-on-inmate
NONCONSENSUAL SEXUAL ACTS in the
space below. Use that definition to complete
Items 4 and 5.

4. Between January 1, 2016, and December 31, 2016,
how many allegations of inmate-on-inmate
NONCONSENSUAL SEXUAL ACTS were reported?

7. Between January 1, 2016, and December 31, 2016,
how many allegations of inmate-on-inmate
ABUSIVE SEXUAL CONTACT were reported?

Number reported . . . . . . .
None
• If an allegation involved multiple victimizations,
count only once.
• Exclude any allegations that were reported as
consensual.

Number reported . . . . .
None
If
an
allegation
involved
multiple
victimizations,
count only
•
once.
• Exclude any allegations that were reported as consensual.

5. Of the allegations reported in Item 4, how
many were — (Please contact the agency or office
responsible for investigating allegations of sexual
victimization in order to fully complete this form.)

8. Of the allegations reported in Item 7, how many
were — (Please contact the agency or office responsible for
investigating allegations of sexual victimization in order to
fully complete this form.)

a. Substantiated

.......

None

• The event was investigated and determined to
have occurred, based on a preponderance of the
evidence (28 C.F.R. §115.72).
b. Unsubstantiated

.....

a. Substantiated . . . . . . . .

None

b. Unsubstantiated

.....

None

..........

None

None
c. Unfounded

• The investigation concluded that evidence was
insufficient to determine whether or not the event
occurred.

d. Investigation ongoing
c. Unfounded . . . . . . . . . .

None

.

None

• Evidence is still being gathered, processed or evaluated,
and a final determination has not yet been made.
e. TOTAL (Sum of Items
5a through 5d) . . . . . . . . .

None

• The total should equal the number reported in Item 4.
FORM SSV-3 (4-26-2017)

None

e. TOTAL (Sum of Items
None
8a through 8d) . . . . . . . . . .
• The total should equal the number reported in
Item 7.

• The investigation determined that the event did
NOT occur.
d. Investigation ongoing

.

Page 3

Section III – STAFF-ON-INMATE SEXUAL ABUSE

9. Does your local jail jurisdiction record
allegations of inmate-on-inmate SEXUAL
HARASSMENT? (See definitions on page 2.)
01

02

Yes

No

DEFINITIONS

➔ Do you record all reported

The survey utilizes the definition of “sexual abuse” by a
staff member, contractor or volunteer as provided by
28 C.F.R. §115.6 in the National Standards to Prevent,
Detect, and Respond to Prison Rape (under the Prison
Rape Elimination Act of 2003). For purposes of SSV,
sexual abuse is disaggregated into two categories of
staff-on-inmate sexual abuse. These categories are:

allegations or only substantiated
ones?

➔

01

All

02

Substantiated only

Please provide an explanation in the space
below and then skip to Section III.

STAFF SEXUAL MISCONDUCT
Any behavior or act of a sexual nature directed toward an
inmate by an employee, volunteer, contractor, official
visitor or other agency representative (exclude family,
friends or other visitors).
Sexual relationships of a romantic nature between staff
and inmates are included in this definition. Consensual or
nonconsensual sexual acts include—
• Intentional touching, either directly or through the
clothing, of the genitalia, anus, groin, breast, inner
thigh, or buttocks that is unrelated to official duties or
with the intent to abuse, arouse, or gratify sexual
desire;

10. Between January 1, 2016, and December 31,
2016, how many allegations of
inmate-on-inmate SEXUAL HARASSMENT were
reported?
None
Number reported . . . . . . .
• If an allegation involved multiple victims or
inmate perpetrators, count only once.
• Exclude any allegations that were reported as
consensual.

OR
• Completed, attempted, threatened, or requested
sexual acts;
OR

11. Of the allegations reported in Item 10, how many
were—

• Occurrences of indecent exposure, invasion of
privacy, or staff voyeurism for reasons unrelated to
official duties or for sexual gratification.

None

STAFF SEXUAL HARASSMENT

b. Unsubstantiated . . . . . .

None

Repeated verbal statements, comments or gestures of a
sexual nature to an inmate by an employee, volunteer,
contractor, official visitor, or other agency representative
(exclude family, friends, or other visitors). Include—

c. Unfounded

None

• Demeaning references to gender; or sexually suggestive
or derogatory comments about body or clothing;

a. Substantiated . . . . . . . .

..........

d. Investigation ongoing

.

OR

None

• Repeated profane or obscene language or gestures.

e. TOTAL (Sum of Items
None
11a through 11d) . . . . . . . .
• The total should equal the number reported in
Item 10.

FORM SSV-3 (4-26-2017)

Page 4

15. Does your local jail jurisdiction record
allegations of STAFF SEXUAL HARASSMENT?
(See definitions on page 4.)

12. Does your local jail jurisdiction record
allegations of STAFF SEXUAL MISCONDUCT?
(See definitions on page 4.)
01

02

Yes ➔ Do you record all reported
occurrences, or only substantiated
ones?

No

01

Yes ➔ Can these allegations be counted
separately from allegations of
STAFF SEXUAL MISCONDUCT?

01

All

01

Yes

02

Substantiated only

02

No ➔ Skip to Item 18.

➔ Please provide an explanation in the space

02

13. Between January 1, 2016, and
December 31, 2016, how many allegations of
STAFF SEXUAL MISCONDUCT were reported?
Number reported

.....

➔ Please provide an explanation in the space

16. Between January 1, 2016, and
December 31, 2016, how many allegations of
STAFF SEXUAL HARASSMENT were reported?

Number reported

None

.....

None

• If an allegation involved multiple victims or staff,
count only once.

• If an allegation involved multiple victimizations, or
staff, count only once.
14. Of the allegations reported in Item 10, how
many were — (Please contact the agency or office
responsible for investigating allegations of sexual
victimization in order to fully complete this form.)

No

below and then skip to Item 18.

below and then skip to Item 15.

17. Of the allegations reported in Item 16, how
many were — (Please contact the agency or office
responsible for investigating allegations of sexual
victimization in order to fully complete this form.)

a. Substantiated . . . . . . . .

None

a. Substantiated . . . . . . .

None

b. Unsubstantiated . . . . . .

None

b. Unsubstantiated . . . . .

None

c. Unfounded

None

c. Unfounded

.........

None

None

d. Investigation ongoing .

None

None

e. TOTAL (Sum of Items 17a
through 17d) . . . . . . . . . .

None

..........

d. Investigation ongoing

.

e. TOTAL (Sum of Items
14a through 14d) . . . . . . . .
• The total should equal the number
reported in Item 13.

FORM SSV-3 (4-26-2017)

• The number should equal the number
reported in Item 16.

Page 5

Section IV – TOTAL SUBSTANTIATED
INCIDENTS OF SEXUAL VICTIMIZATION

NOTES

18. What is the total number of substantiated
incidents reported in Items 5a, 8a, 11a,
14a, and 17a?
Total substantiated
incidents . . . . . . . . . . . .

➔

None

Please complete a Substantiated Incident
Form (Adult, SSV-IA) for each substantiated
incident of sexual victimization.

FORM SSV-3 (4-26-2017)

Clear Fields

Page 6

Print Form

Save As

OMB No. 1121-0292: Approval Expires 4/30/2018
U.S. DEPARTMENT OF JUSTICE

SSV-4

FORM
(4-26-2017)

BUREAU OF JUSTICE STATISTICS

SURVEY OF SEXUAL VICTIMIZATION, 2016
Other Correctional Facilities
Summary Form

AND ACTING AS COLLECTION AGENT

U.S. DEPT. OF COMMERCE
Economics and Statistics Administration

U.S. CENSUS BUREAU

DATA SUPPLIED BY

TELEPHONE
E-MAIL
ADDRESS

City

Number and street or P.O. Box/Route Number
Area code

Number

FAX
NUMBER

State

▼

OFFICIAL
ADDRESS

Title

▼▼▼

Name

Area Code

ZIP Code
Number

(Please correct any error in name, mailing address, and ZIP Code)

What facilities are included in this data collection?
• PRIVATELY OPERATED FACILITIES: All privately
owned or operated confinement facilities including prisons,
jails, detention centers, community-based facilities, and
other correctional facilities that are intended for adults but
sometimes hold juveniles. INCLUDE privately operated
multi-jurisdictional facilities.
• FACILITIES OPERATED BY OR FOR:
• THE UNITED STATES MILITARY
• THE BUREAU OF IMMIGRATION AND
CUSTOMS ENFORCEMENT

Reporting instructions:
• Please complete the entire SSV-4 Form.
• If the answer to a question is "not available" or "unknown,"
write "DK" (do not know) in the space provided.
• If the answer to a question is "not applicable," write "NA" in
the space provided.
• Section I: when exact numeric answers are not available,
provide estimates and mark ( X ) the box beside each
figure.
• Sections II, III, and IV: if the answer to a question is "none"
or "zero," write "0" or mark the box ( X ) provided.
Substantiated incidents of sexual violence:
• Please complete an Incident Form (Adult, SSV-IA)
for each substantiated incident of sexual victimization.

• TRIBAL AUTHORITIES
• THE BUREAU OF INDIAN AFFAIRS
What inmates and incidents are included in this data
collection?
Inmates under your custody between January 1, 2016, and
December 31, 2016.
• INCLUDE incidents involving inmates under the authority,
custody, or care of your confinement or community-based
facilities or staff.
• EXCLUDE inmates held in other jurisdictions.

Returning forms:
• If you need assistance, please call Greta Clark at the
U.S. Census Bureau toll–free at 1–888–369–3613,
option 2, or e-mail [email protected]
• Please return your completed summary and
substantiated incident forms by
August 1, 2017.
• You may complete these forms online (see
enclosed instructions). Or if you prefer, you may
return these forms by mail or fax.
• MAIL TO: U.S. Census Bureau, P.O. Box 5000,
Jeffersonville, IN 47199-5000
• FAX (TOLL FREE) TO: 1–888–262–3974

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 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.

Section II – INMATE-ON-INMATE SEXUAL VICTIMIZATION

Section I – GENERAL INFORMATION
1. How many persons under the supervision of your
facility were—

DEFINITIONS

• INCLUDE persons on transfer to treatment
facilities but who remain under your
jurisdiction.

The survey utilizes the definition of “sexual abuse” as
provided by 28 C.F.R. §115.6 in the National Standards to
Prevent, Detect, and Respond to Prison Rape (under the
Prison Rape Elimination Act of 2003). For purposes of SSV,
sexual abuse is disaggregated into three categories of
inmate-on-inmate sexual victimization. These categories are:

• INCLUDE persons out to court while under your
jurisdiction.

NONCONSENSUAL SEXUAL ACTS

a. CONFINED on December 31, 2016?

• INCLUDE persons held for other jurisdictions.

Sexual contact of any person without his or her consent,
or of a person who is unable to consent or refuse;

• EXCLUDE inmates on AWOL, escape, or
long-term transfer to other jurisdictions.

AND
• Contact between the penis and the vulva or the penis
and the anus including penetration, however slight;

• EXCLUDE all persons in non-residential
community-based programs run by your facility
(e.g., electronic monitoring, house arrest,
community service, day reporting, work
programs).
Male

OR
• Contact between the mouth and the penis, vulva, or
anus;

Female

OR

Inmates on
December 31, 2016 . .

• Penetration of the anal or genital opening of another
person however slight, by a hand, finger, object, or other
instrument.

b. ADMITTED to your facility during 2016?
• INCLUDE new admissions only, i.e., persons
officially booked into and housed in your facilities by
formal legal document and by the authority of the
courts or some other official agency.

ABUSIVE SEXUAL CONTACT
Sexual contact of any person without his or her consent,
or of a person who is unable to consent or refuse;

• INCLUDE repeat offenders booked on new charges.

AND

• EXCLUDE returns from escape, work release, medical
appointments/treatment facilities, and bail or court
appearances.
Male

Female

• EXCLUDE incidents in which the contact was incidental
to a physical altercation.

New admissions
during 2016 . . . . . . .

SEXUAL HARASSMENT
Repeated and unwelcome sexual advances, requests for
sexual favors, or verbal comments, gestures, or actions
of a derogatory or offensive sexual nature by one inmate
directed toward another.

2. Between January 1, 2016, and
December 31, 2016, what was the average
daily population of your confinement facility?
• To calculate the average daily population, add the
number of persons for each day during the period
January 1, 2016, through December 31, 2016, and
divide the result by 365.
Male

Female

Average daily
population . . . . . . . . . . .

FORM SSV-4 (4-26-2017)

• Intentional touching, either directly or through the
clothing, of the genitalia, anus, groin, breast, inner thigh,
or buttocks of any person.

Page 2

3. Does your facility record allegations of
inmate-on-inmate NONCONSENSUAL SEXUAL
ACTS? (See definitions on page 2.)
Yes

01

6. Does your facility record allegations of
inmate-on-inmate ABUSIVE SEXUAL
CONTACT? (See definitions on page 2.)

➔ a. Do you record all reported occurrences,

01

01

All

02

Substantiated only

b. Do you record attempted
NONCONSENSUAL SEXUAL ACTS
or only completed ones?

02

No

Yes

or only substantiated ones?

01

Both attempted and completed

02

Completed only

02

No

➔ Can these be counted separately from
allegations of NONCONSENSUAL
SEXUAL ACTS?
01

Yes

02

No

➔ Skip to Item 9.

➔ Please provide an explanation in the space
below and then skip to Item 9.

➔ Please provide the definition used by your facility
for inmate-on-inmate NONCONSENSUAL
SEXUAL ACTS in the space below. Use that
definition to complete Items 4 and 5.

7. Between January 1, 2016, and
December 31, 2016, how many allegations
of inmate-on-inmate ABUSIVE SEXUAL
CONTACT were reported?

4. Between January 1, 2016, and
December 31, 2016, how many allegations
of inmate-on-inmate NONCONSENSUAL
SEXUAL ACTS were reported?

Number reported . . . . .
None
• If an allegation involved multiple victimizations, count
only once.
• Exclude any allegations that were reported as consensual.

Number reported . . . . . .
None
• If an allegation involved multiple victimizations, count
only once.
• Exclude any allegations that were reported as consensual.

8. Of the allegations reported in Item 7, how
many were — (Please contact the agency or office
responsible for investigating allegations of sexual
victimization in order to fully complete this form.)

5. Of the allegations reported in Item 4, how many
were — (Please contact the agency or office responsible
for investigating allegations of sexual victimization in order
to fully complete this form.)

a. Substantiated . . . . . . .

None

a. Substantiated

• The event was investigated and determined to have
occurred, based on a preponderance of the evidence
(28 C.F.R. §115.72).

......

b. Unsubstantiated
b. Unsubstantiated . . . . .

....

None

None

None

• The investigation concluded that evidence was insufficient
to determine whether or not the event occurred.
c. Unfounded

.........

c. Unfounded . . . . . . . . . .

None

d. Investigation ongoing .

None

e. TOTAL (Sum of Items 8a
through 8d) . . . . . . . . . .

None

None

• The investigation determined that the event did NOT occur.
d. Investigation ongoing

None

• Evidence is still being gathered, processed or evaluated,
and a final determination has not yet been made.
e. TOTAL (Sum of Items
5a through 5d) . . . . . . . . .

None

• The total should equal the number reported in Item 7.

• The total should equal the number reported in Item 4.
FORM SSV-4 (4-26-2017)

Page 3

Section III – STAFF-ON-INMATE SEXUAL ABUSE

9. Does your facility record allegations of
inmate-on-inmate SEXUAL HARASSMENT? (See
definitions on page 2.)
01

02

Yes

No

DEFINITIONS

➔ Do you record all reported

The survey utilizes the definition of “sexual abuse” by a staff
member, contractor or volunteer as provided by 28 C.F.R.
§115.6 in the National Standards to Prevent, Detect, and
Respond to Prison Rape (under the Prison Rape Elimination
Act of 2003). For purposes of SSV, sexual abuse is
disaggregated into two categories of staff-on-inmate sexual
abuse. These categories are:

allegations or only substantiated
ones?
01

All

02

Substantiated only

➔ Please provide an explanation in the space
below and then skip to Section III.

STAFF SEXUAL MISCONDUCT
Any behavior or act of a sexual nature directed toward an
inmate by an employee, volunteer, contractor, official visitor
or other agency representative (exclude family, friends or
other visitors).
Sexual relationships of a romantic nature between staff and
inmates are included in this definition. Consensual or
nonconsensual sexual acts include—
• Intentional touching, either directly or through the
clothing, of the genitalia, anus, groin, breast, inner thigh,
or buttocks that is unrelated to official duties or with the
intent to abuse, arouse, or gratify sexual desire;
OR
• Completed, attempted, threatened, or requested sexual acts;
OR

10. Between January 1, 2016, and
December 31, 2016, how many allegations of
inmate-on-inmate SEXUAL HARASSMENT
were reported?

• Occurrences of indecent exposure, invasion of privacy,
or staff voyeurism for reason unrelated to official duties
or for sexual gratification.
STAFF SEXUAL HARASSMENT

Number reported . . . . . . .
None
• If an allegation involved multiple victims or inmate
perpetrators, count only once.
• Exclude any allegations that were reported as consensual.

Repeated verbal statements, comments or gestures of a sexual
nature to an inmate by an employee, volunteer, contractor,
official visitor, or other agency representative (exclude family,
friends, or other visitors). Include—
• Demeaning references to gender; or sexually suggestive
or derogatory comments about body or clothing;

11. Of the allegations reported in Item 10, how
many were — (Please contact the agency or office
responsible for investigating allegations of sexual
victimization in order to fully complete this form.)

OR
• Repeated profane or obscene language or gestures.

a. Substantiated . . . . . .

None

b. Unsubstantiated . . . .

None

c. Unfounded . . . . . . . . . .

None

d. Investigation ongoing .

None

e. TOTAL (Sum of Items 11a
through 11d) . . . . . . . . .

None

• The total should equal the number reported in Item 10.
FORM SSV-4 (4-26-2017)

Page 4

12. Does your facility record allegations of STAFF
SEXUAL MISCONDUCT? (See definitions on page 4.)
01

02

Yes

No

15. Does your facility record allegations of STAFF
SEXUAL HARASSMENT? (See definitions on page 4.)

➔ Do you record all reported

01

occurrences, or only substantiated
ones?

Yes

➔ Can these allegations be counted
separately from allegations of
STAFF SEXUAL MISCONDUCT?

01

All

01

Yes

02

Substantiated only

02

No ➔ Skip to Item 18.

➔ Please provide an explanation in the space

02

below and then skip to Item 15.

➔ Please provide an explanation in the space
below and skip to Item 18.

13. Between January 1, 2016, and
December 31, 2016, how many allegations of
STAFF SEXUAL MISCONDUCT were reported?

Number reported . . . . . .

No

16. Between January 1, 2016, and
December 31, 2016, how many allegations of
STAFF SEXUAL HARASSMENT were reported?

None

Number reported

• If an allegation involved multiple victimizations, count
only once.

.....

None

• If an allegation involved multiple victims or staff, count
only once.

14. Of the allegations reported in Item 13, how
many were — (Please contact the agency or office
responsible for investigation allegations of sexual
victimization in order to fully complete this form.)

17. Of the allegations reported in Item 16, how
many were — (Please contact the agency or office
responsible for investigating allegations of sexual
victimization in order to fully complete this form.)

None

a. Substantiated . . . . . . . .

None

.....

None

b. Unsubstantiated

.....

None

c. Unfounded . . . . . . . . . .

None

c. Unfounded

..........

None

d. Investigation ongoing .

None

d. Investigation ongoing

.

None

e. TOTAL (Sum of Items 14a
through 14d) . . . . . . . . . .

None

e. TOTAL (Sum of Items 17a
through 17d) . . . . . . . . . .

None

a. Substantiated

.......

b. Unsubstantiated

• The total should equal the number reported in Item 13.

FORM SSV-4 (4-26-2017)

Page 5

• The total should equal the number reported in Item 16.

Section IV – TOTAL SUBSTANTIATED
INCIDENTS OF SEXUAL VICTIMIZATION

NOTES

18. What is the total number of substantiated
incidents reported in Items 5a, 8a, 11a,
14a, and 17a?
Total substantiated
incidents . . . . . . . . . . . . . .

None

➔ Please complete a Substantiated Incident

Form (Adult, SSV-IA) for each substantiated
incident of sexual victimization.

FORM SSV-4 (4-26-2017)

Clear Fields

Page 6

Print Form

Save As

OMB No. 1121-0292: Approval Expires 4/30/2018
U.S. DEPARTMENT OF JUSTICE

SSV-5

FORM
(5-11-2017)

BUREAU OF JUSTICE STATISTICS

SURVEY OF SEXUAL VICTIMIZATION, 2016
State Juvenile Systems
Summary Form

AND ACTING AS COLLECTION AGENT

U.S. DEPT. OF COMMERCE
Economics and Statistics Administration

U.S. CENSUS BUREAU

DATA SUPPLIED BY

TELEPHONE
E-MAIL
ADDRESS

City

Number and street or P.O. Box/Route Number
Area code

Number

FAX
NUMBER

State

▼

OFFICIAL
ADDRESS

Title

▼▼▼

Name

Area Code

ZIP Code
Number

(Please correct any error in name, mailing address, and ZIP Code)

What facilities are included in this data collection?
All State-operated juvenile residential placement facilities
used to house juveniles and youthful offenders, regardless of
age or reason for placement.
• INCLUDE State-operated juvenile residential facilities
such as: detention centers, training schools, long-term
secure facilities; reception or diagnostic centers; group
homes or halfway houses; boot camps; ranches; forestry
camps, wilderness or marine programs, or farms;
runaway or homeless shelters; and residential treatment
centers for juveniles.
• EXCLUDE privately operated facilities and
facilities operated or administered by local
governments. (These facilities will be
contacted directly for data on sexual
victimization.)
What persons and incidents are included in this
data collection?
Juveniles and youthful offenders, regardless of age or reason
for placement, under your custody between January 1, 2016,
and December 31, 2016.
• INCLUDE incidents involving juveniles or youthful
offenders under the authority, custody, or care of your
confinement or community-based facilities or staff.
• EXCLUDE incidents involving juveniles or
youthful offenders not held in facilities
operated by your State juvenile system.

Reporting instructions:
•
•

Please complete the entire SSV-5 Form.
If the answer to a question is "not available" or "unknown,"
write "DK" (do not know) in the space provided.
• If the answer to a question is "not applicable," write "NA"
in the space provided.
• Section I: when exact numeric answers are not available,
provide estimates and mark ( X ) the box beside each
figure.
• Sections II, III, and V: if the answer to a question is
"none" or "zero," write "0" or mark the box ( X )
provided.
Substantiated incidents of sexual violence:
• Please complete an Incident Form (Juvenile, SSV-IJ)
for each substantiated incident of sexual victimization.
Returning forms:
• If you need assistance, please call Greta Clark at the
U.S. Census Bureau toll-free at 1–800–253–2078 or
email [email protected]
• Please return your completed summary and
substantiated incident forms by
August 15, 2017.
• You may complete these forms online (see
enclosed instructions). Or if you prefer, you
may return these forms by mail or fax.
• MAIL TO: U.S. Census Bureau, P.O. Box 5000,
Jeffersonville, IN 47199-5000
• FAX (TOLL FREE): 1–888–262–3974

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 60 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.

2. On December 31, 2016, how many persons
held in the facilities reported in Item 1 were —

DEFINITIONS
JUVENILES and YOUTHFUL OFFENDERS
• Any person under the jurisdiction of your State’s juvenile
system or youthful offender authority, regardless of age
or reason for placement.

a. Males . . . . . . . . . . . . . . . . . .

FACILITIES

b. Females

...............

INCLUDE all State-operated facilities used to house juveniles
or youthful offenders charged with or court-adjudicated for:
c. TOTAL (Sum of Items 2a and 2b)

• Any offense that is illegal for both adults and juveniles;

• Count persons held in the facilities reported in Item 1
regardless of age or reason for placement. Include
persons who were temporarily away but had assigned
beds on December 31, 2016.

OR
• An offense that is ILLEGAL in your State for juveniles,
but not for adults (running away, truancy, incorrigibility,
curfew violations, and liquor violations).

3. On December 31, 2016, how many persons
held in the facilities reported in Item 1 were —

EXCLUDE State-operated facilities used ONLY to house
juveniles for:
• Non-criminal purposes (neglect, abuse, abandonment, or
dependency);

a. Age 17 or younger . . . . . . . .

OR
b. Age 18 to 20

• Being Persons in Need of Services (PINS) or Children in
Need of Services (CHINS) who have assigned beds for
reasons other than offenses.

............

c. Age 21 or older . . . . . . . . . .
d. TOTAL (Sum of Items 3a through
3c should equal Item 2c) . . . . . .

Section I – GENERAL INFORMATION

• Count all persons held in the facilities reported in Item 1
regardless of age or reason for placement. Include
persons who were temporarily away but had assigned
beds on December 31, 2016.

1. On December 31, 2016, how many facilities
operated by your State held juveniles or
youthful offenders CHARGED WITH or
COURT-ADJUDICATED FOR AN OFFENSE?

Number of facilities

...

4. Between January 1, 2016, and December 31, 2016,
how many persons were admitted to or discharged
from the facilities reported in Item 1?

• Count all juvenile residential facilities where young
persons who have committed offenses may be
housed overnight.

a. TOTAL number admitted

• Count each facility with a separate physical location
only once. Do not count separate living/sleeping units,
wings, floors, dorms, barracks, or cottages within a
single facility.

..

b. TOTAL number discharged .
• Include all persons admitted into your State-operated
juvenile residential facilities by a formal legal document,
by the authority of the courts, or by some other official
agency.
• Include all persons discharged from your
State-operated juvenile residential facilities after a
period of confinement including sentence completion,
pretrial releases, transfers to adult jurisdictions or to
other States, and deaths.
• Exclude admissions and discharges resulting from
returns from escape, administrative transfers to other
juvenile facilities operated by your State, or temporary
release including work/school release, medical
appointments, other treatment facilities, or court
appearances.

FORM SSV-5 (5-11-2017)

Page 2

Section II – YOUTH–ON–YOUTH SEXUAL VICTIMIZATION 5. Does your State juvenile system record

allegations of youth-on-youth NONCONSENSUAL
SEXUAL ACTS?

DEFINITIONS

01

The survey utilizes the definition of “sexual abuse” as
provided by 28 C.F.R. §115.6 in the National Standards to
Prevent, Detect, and Respond to Prison Rape (under the
Prison Rape Elimination Act of 2003). For purposes of SSV,
sexual abuse is disaggregated into three categories of
youth-on-youth sexual victimization. These categories are:

Yes ➔ a. Do you record all reported
occurrences, or only
substantiated ones?
01
02

All
Substantiated only

b. Do you record attempted
NONCONSENSUAL SEXUAL ACTS
or only completed ones?

NONCONSENSUAL SEXUAL ACTS
Sexual contact of any person without his or her consent,
or of a person who is unable to consent or refuse;

01

AND
• Sexual contact between the penis and the vulva or the
penis and the anus including penetration, however slight;
OR

02
02

No

Both attempted and completed
Completed only

➔ Please provide the definition used by your
State juvenile system for youth-on-youth
NONCONSENSUAL SEXUAL ACTS in the
space below. Use that definition to complete
Items 6 and 7.

• Contact between the mouth and the penis, vulva, or
anus;
OR
• Penetration of the anal or genital opening of another
person, however slight, by a hand, finger, object, or
other instrument.
ABUSIVE SEXUAL CONTACT

6. Between January 1, 2016, and December 31, 2016,
how many allegations of youth-on-youth
NONCONSENSUAL SEXUAL ACTS were reported?

Sexual contact of any person without his or her consent,
or of a person who is unable to consent or refuse;
AND
• Intentional touching, either directly or through the
clothing, of the genitalia, anus, groin, breast, inner thigh,
or buttocks of any person.

Number reported

Repeated and unwelcome sexual advances, requests
for sexual favors, or verbal comments, gestures, or
actions of a derogatory or offensive sexual nature by
one youth directed toward another.

None

• If an allegation involved multiple victimizations, count
only once.
• Exclude any allegations that were reported as
consensual.

• EXCLUDE incidents in which the contact was incidental
to a physical altercation.
SEXUAL HARASSMENT

......

7. Of the allegations reported in Item 6, how
many were — (Please contact the agency or office
responsible for investigating allegations of sexual
victimization in order to fully complete this form.)
None

a. Substantiated . . . . . . .

• The event was investigated and determined to have
occurred, based on a preponderance of the evidence
(28 C.F.R. §115.72).
b. Unsubstantiated

None

....

• The investigation concluded that evidence was
insufficient to determine whether or not the event
occured.
None

c. Unfounded . . . . . . . . .

• The investigation determined that the event did NOT
occur.
d. Investigation ongoing

.

None

• Evidence is still being gathered, processed or evaluated,
and a final determination has not yet been made.
e. TOTAL (Sum of Items
7a through 7d) . . . . . . . .

None

• The total should equal the number reported in
Item 6.
FORM SSV-5 (5-11-2017)

Page 3

8. Does your State juvenile system record
allegations of youth-on-youth ABUSIVE SEXUAL
CONTACT? (See definitions on page 3.)

11. Does your State juvenile system record
allegations of youth-on-youth SEXUAL
HARASSMENT? (See definitions on page 2.)
01

01

02

Yes

No

Yes

from allegations of
NONCONSENSUAL SEXUAL ACTS?
01

Yes

02

No

➔ Do you record all reported allegations
or only substantiated ones?

➔ Can these be counted separately

➔ Skip to Item 11.
02

➔ Please provide an explanation in the space

No

01

All

02

Substantiated only

➔ Please provide an explanation in the space
below and then skip to Section III.

below and then skip to Item 11.

9. Between January 1, 2016, and
December 31, 2016, how many allegations
of youth-on-youth ABUSIVE SEXUAL
CONTACT were reported?

12. Between January 1, 2016, and
December 31, 2016, how many allegations of
youth-on-youth SEXUAL HARASSMENT
were reported?
Number reported . . . . . .
None
• If an allegation involved multiple victims or youth
perpetrators, count only once.

Number reported . . . . . .
None
• If an allegation involved multiple victimizations, count
only once.
• Exclude any allegations that were reported as
consensual.
10. Of the allegations reported in Item 9, how
many were — (Please contact the agency or
office responsible for investigating allegations of
sexual victimization in order to fully complete this
form.)

• Exclude any allegations that were reported as
consensual.
13. Of the allegations reported in Item 12, how
many were — (Please contact the agency or office
responsible for investigating allegations of sexual
victimization in order to fully complete this form.)

.......

None

a. Substantiated . . . . . . .

None

b. Unsubstantiated . . . . .

None

b. Unsubstantiated . . . . .

None

c. Unfounded . . . . . . . . . .

None

c. Unfounded

.........

None

d. Investigation ongoing . .

None

d. Investigation ongoing .

None

e. TOTAL (Sum of Items
10a through 10d) . . . . . . .

None

e. TOTAL (Sum of Items
13a through 13d) . . . . . . .

None

a. Substantiated

• The total should equal the number reported in
Item 9.

FORM SSV-5 (5-11-2017)

• The total should equal the number reported in
Item 12.

Page 4

Section III – STAFF-ON-YOUTH SEXUAL ABUSE

14. Does your State juvenile system record
allegations of STAFF SEXUAL MISCONDUCT?
01

DEFINITIONS
The survey utilizes the definition of “sexual abuse” by a staff
member, contractor or volunteer as provided by 28 C.F.R.
§115.6 in the National Standards to Prevent, Detect, and
Respond to Prison Rape (under the Prison Rape Elimination
Act of 2003). For purposes of SSV, sexual abuse is
disaggregated into two categories of staff-on-youth sexual
abuse. These categories are:

02

Yes

No

➔ Do you record all reported

occurrences, or only substantiated
ones?
01

All

02

Substantiated only

➔ Please provide an explanation in the space
below and then skip to Item 17.

STAFF SEXUAL MISCONDUCT
Any behavior or act of a sexual nature directed toward a
youth by an employee, volunteer, contractor, official visitor or
other agency representative (exclude family, friend or other
visitors).
Sexual relationships of a romantic nature between staff and
youths are included in this definition. Consensual or
nonconsensual sexual acts include—
• Intentional touching, either directly or through the
clothing, of the genitalia, anus, groin, breast, inner thigh,
or buttocks that is unrelated to official duties or with the
intent to abuse, arouse, or gratify sexual desire;

15. Between January 1, 2016, and
December 31, 2016, how many allegations
of STAFF SEXUAL MISCONDUCT were
reported?
Number reported . . . . . .

OR
• Completed, attempted, threatened, or requested sexual
acts;
OR
• Occurrences of indecent exposure, invasion of privacy,
or staff voyeurism for reasons unrelated to official duties
or for sexual gratification.

None

• If an allegation involved multiple victimizations, count
only once.
16. Of the allegations reported in Item 15, how
many were — (Please contact the agency or
office responsible for investigating allegations of
sexual victimization in order to fully complete this
form.)

STAFF SEXUAL HARASSMENT
Repeated verbal statements, comments or gestures of a
sexual nature to a youth by an employee, volunteer,
contractor, official visitor, or other agency representative
(exclude family, friends, or other visitors). Include—

• Demeaning references to gender; or sexually suggestive
or derogatory comments about body or clothing;

a. Substantiated . . . . . . .

None

b. Unsubstantiated . . . . .

None

c. Unfounded . . . . . . . . . .

None

d. Investigation ongoing .

None

e. TOTAL (Sum of Items
16a through 16d) . . . . . . .

None

OR

• Repeated profane or obscene language or gestures.

• The total should equal the number reported in
Item 15.

FORM SSV-5 (5-11-2017)

Page 5

17. Does your State juvenile system record
allegations of STAFF SEXUAL HARASSMENT?
(See definitions on page 5.)
01

02

Yes

No

Section IV – PRIVATE AND LOCAL ALLEGATIONS

20. Did any of the allegations reported in Items 6, 9,
12, 15, or 18 occur in a privately operated
facility?

➔ Can these allegations be counted
separately from allegations of
STAFF SEXUAL MISCONDUCT?
01

Yes

02

No

➔ Skip to Item 20.

01

Yes

02

No

21. Did any of the allegations reported in Items 6, 9,
12, 15, or 18 occur in a facility operated or
administered by local governments?

➔ Please provide an explanation in the space
below and then skip to Item 20.

01

Yes

02

No

Section V – TOTAL SUBSTANTIATED
INCIDENTS OF SEXUAL VICTIMIZATION
22. What is the total number of substantiated
incidents reported in Items 7a, 10a, 13a,
16a, and 19a?

18. Between January 1, 2016, and
December 31, 2016, how many allegations of
STAFF SEXUAL HARASSMENT were reported?

Number reported . . . . . .

Total substantiated
incidents . . . . . . . . . . . . .

None

➔ Please complete a Substantiated Incident Form
(Juvenile, SSV-IJ) for each substantiated
incident of sexual victimization.

• If an allegation involved multiple victims or staff, count
only once.
19. Of the allegations reported in Item 18, how
many were — (Please contact the agency or
office responsible for investigating allegations of
sexual victimization in order to fully complete this
form.)
a. Substantiated . . . . . . .

None

b. Unsubstantiated . . . . .

None

c. Unfounded

.........

None

d. Investigation ongoing .

None

e. TOTAL (Sum of Items 19a
through 19d) . . . . . . . . . .

None

None

NOTES

• The total should equal the number reported in
Item 18.

FORM SSV-5 (5-11-2017)

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Page 6

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OMB No. 1121-0292: Approval Expires 4/30/2018
U.S. DEPARTMENT OF JUSTICE

SSV-6

FORM
(5-11-2017)

SURVEY OF SEXUAL VICTIMIZATION, 2016
Locally or Privately-Operated Juvenile Facilities

BUREAU OF JUSTICE STATISTICS
AND ACTING AS COLLECTION AGENT

U.S. DEPT. OF COMMERCE
Economics and Statistics Administration

Summary Form

U.S. CENSUS BUREAU

DATA SUPPLIED BY

TELEPHONE
E-MAIL
ADDRESS

City

Number and street or P.O. Box/Route Number
Area code

Number

FAX
NUMBER

State

▼

OFFICIAL
ADDRESS

Title

▼▼▼

Name

Area Code

ZIP Code
Number

(Please correct any error in name, mailing address, and ZIP Code)

What facilities are included in this data collection?
All juvenile residential placement facilities operated or
administered by a local government and all privately owned or
operated facilities that are used to house juveniles and
youthful offenders, regardless of age or reason for placement.
• INCLUDE locally-operated juvenile residential facilities;
privately owned or operated juvenile residential facilities;
detention centers, training schools, long-term secure
facilities; reception or diagnostic centers; group homes or
halfway houses; boot camps; ranches; forestry camps,
wilderness or marine programs, or farms; runaway or
homeless shelters; and residential treatment centers for
juveniles.
• EXCLUDE State operated juvenile residential
facilities. (These facilities will be contacted
directly for data on sexual victimization.)

Reporting instructions:
•
•
•

Please complete the entire SSV-6 Form.
If the answer to a question is "not available" or "unknown,"
write "DK" (do not know) in the space provided.
If the answer to a question is "not applicable," write "NA"
in the space provided.

•

Section I: when exact numeric answers are not available,
provide estimates and mark ( X ) the box beside each
figure.

•

Sections II, III, and V: if the answer to a questions "none"
or "zero," write "0" or mark the box ( X ) provided.

Substantiated incidents of sexual violence:
• Please complete an Incident Form (Juvenile, SSV-IJ)
for each substantiated incident of sexual victimization.
Returning forms:

What persons and incidents are included in this
data collection?
Juveniles and youthful offenders, regardless of age or
reason for placement, under your custody between
January 1, 2016, and December 31, 2016.
• INCLUDE incidents involving juveniles or youthful
offenders under the authority, custody, or care of your
confinement or community-based facilities or staff.
• EXCLUDE incidents involving juveniles or
youthful offenders held in facilities operated
by your State juvenile system.

• If you need assistance, please call Greta Clark at the
U.S. Census Bureau toll–free at 1–888–369–3613,
option 2, or e-mail [email protected]
• Please return your completed summary and
substantiated incident forms by
August 15, 2017.
• You may complete these forms online (see
enclosed instructions). Or if you prefer, you
may return these forms by mail or fax.
• MAIL TO: U.S. Census Bureau, P.O. Box 5000,
Jeffersonville, IN 47199-5000
• FAX (TOLL FREE): 1–888–262–3974

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 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.

DEFINITIONS

3. On December 31, 2016, how many persons
held in this facility were —

JUVENILES and YOUTHFUL OFFENDERS
• Any person under the custody or care of a juvenile
residential facility owned or operated by a local
government or private agency.

a. Males . . . . . . . . . . . . . . . . . .

FACILITIES

b. Females

INCLUDE all juvenile residential placement facilities operated
or administered by a local government and all privately owned
or operated facilities that are used to house juveniles and
youthful offenders charged with or court-adjudicated for:

c. TOTAL(Sum of Items 3a and 3b) .

• Any offense that is illegal for both adults and juveniles;

...............

• Count persons held in the facility regardless of age or
reason for placement. Include persons who were
temporarily away but had assigned beds on
December 31, 2016.

OR
• An offense that is ILLEGAL in your State for juveniles,
but not for adults (running away, truancy, incorrigibility,
curfew violations, and liquor violations).

4. On December 31, 2016, how many persons
held in this facility were —

EXCLUDE all State-operated facilities and locally or
privately-operated facilities used ONLY to house juveniles for:
a. Age 17 or younger . . . . . . . .

• Non-criminal behavior (neglect, abuse, abandonment, or
dependency);
OR

b. Age 18 to 20

• Being Persons in Need of Services (PINS) or Children in
Need of Services (CHINS) who have assigned beds for
reasons other than offenses.

c. Age 21 or older . . . . . . . . . .

Section I – GENERAL INFORMATION

d. TOTAL (Sum of Items 4a through
4c should equal Item 3c) . . . . . .

1. Is this facility owned by a —
01

Private agency

02

Native American Tribal Government

03

State

04

County

05

Local or municipal government

06

Other – Specify

............

• Count all persons held in the facility regardless of age
or reason for placement. Include persons who were
temporarily away but had assigned beds on
December 31, 2016.
5. Between January 1, 2016, and
December 31, 2016, how many persons were
admitted to or discharged from this facility?

a. TOTAL number admitted

2. Is this facility operated by a —
01

Private agency

02

Native American Tribal Government

03

State

04

County

05

Local or municipal government

06

Other – Specify

..

b. TOTAL number discharged .
• Include all persons admitted to this facility by a formal
legal document, by the authority of the courts, or by
some other official agency.
• Include all persons discharged from this facility after a
period of confinement including sentence completion,
pretrial releases, transfers to adult jurisdictions or to
other States, and deaths.
• Exclude admissions and discharges resulting from
returns from escape, administrative transfers to other
juvenile facilities, or temporary release including
work/school release, medical appointments, other
treatment facilities, or court appearances.

FORM SSV-6 (5-11-2017)

Page 2

Section II – YOUTH-ON-YOUTH SEXUAL VICTIMIZATION 6. Does your facility record allegations of
youth-on-youth NONCONSENSUAL SEXUAL
ACTS?
DEFINITIONS
01
Yes ➔ a. Do you record all reported
The survey utilizes the definition of “sexual abuse” as
occurrences, or only
provided by 28 C.F.R. §115.6 in the National Standards to
substantiated ones?
Prevent, Detect, and Respond to Prison Rape (under the
Prison Rape Elimination Act of 2003). For purposes of SSV,
01
All
sexual abuse is disaggregated into three categories of
Substantiated only
02
youth-on-youth sexual victimization. These categories are:
b. Do you record attempted
NONCONSENSUAL SEXUAL ACTS
or only completed ones?

NONCONSENSUAL SEXUAL ACTS
Sexual contact of any person without his or her consent,
or of a person who is unable to consent or refuse;

01
02

AND
• Contact between the penis and the vulva or the penis
and the anus including penetration, however slight;

02

No

Both attempted and completed
Completed only

➔ Please provide the definition used by your
facility for youth-on-youth NONCONSENSUAL
SEXUAL ACTS in the space below. Use that
definition to complete Items 7 and 8.

OR
• Contact between the mouth and the penis, vulva, or
anus;
OR
• Penetration of the anal or genital opening of another
person, however slight, by a hand, finger, object, or
other instrument.

7. Between January 1, 2016 and December 31, 2016,
how many allegations of youth-on-youth
NONCONSENSUAL SEXUAL ACTS were reported?

ABUSIVE SEXUAL CONTACT
Sexual contact of any person without his or her consent,
or of a person who is unable to consent or refuse;

Number reported . . . . . .

AND

• If an allegation involved multiple victimizations, count only
once.

• Intentional touching, either directly or through the
clothing, of the genitalia, anus, groin, breast, inner thigh,
or buttocks of any person.
• EXCLUDE incidents in which the contact was incidental
to a physical altercation.
SEXUAL HARASSMENT

None

• Exclude any allegations that were reported as consensual.
8. Of the allegations reported in Item 7, how many
were — (Please contact the agency or office responsible
for investigating allegations of sexual victimization in order
to fully complete this form.)

Repeated and unwelcome sexual advances, requests for
sexual favors, or verbal comments, gestures, or actions
of a derogatory or offensive sexual nature by one youth
directed toward another.

a. Substantiated

None

......

• The event was investigated and determined to have
occurred, based on a preponderance of the evidence
(28 C.F.R. §115.72).
b. Unsubstantiated

None

....

• The investigation concluded that evidence was insufficient
to determine whether or not the event occurred.
None

c. Unfounded . . . . . . . . .

• The investigation determined that the event did NOT occur.
d. Investigation ongoing

.

None

• Evidence is still being gathered, processed or evaluated,
and a final determination has not yet been made.
e. TOTAL (Sum of Items
8a through 8d) . . . . . . . .

None

• The total should equal the number reported in Item 7.
FORM SSV-6 (5-11-2017)

Page 3

9. Does your facility record allegations of
youth-on-youth ABUSIVE SEXUAL CONTACT?
(See definitions on page 3.)
01

02

Yes

No

12. Does your facility record allegations of
youth-on-youth SEXUAL HARASSMENT?
(See definitions on page 3.)

➔ Can these be counted separately

01

from allegations of
NONCONSENSUAL SEXUAL ACTS?
01

Yes

02

No

Yes

➔ Do you record all reported

allegations or only substantiated
ones?

➔ Skip to Item 12.

➔ Please provide an explanation in the space

02

below and then skip to Item 12.

All

02

Substantiated only

➔ Please provide an explanation in the space
below and then skip to Section III.

10. Between January 1, 2016, and
December 31, 2016, how many allegations of
youth-on-youth ABUSIVE SEXUAL CONTACT
were reported?
Number reported . . . . . .

No

01

13. Between January 1, 2016, and
December 31, 2016, how many allegations of
youth-on-youth SEXUAL HARASSMENT were
reported?
Number reported . . . . . .

None

None

• If an allegation involved multiple victimizations, count
only once.

• If an allegation involved multiple victims or youth
perpetrators, count only once.

• Exclude any allegations that were reported as consensual.

• Exclude any allegations that were reported as consensual.

11. Of the allegations reported in Item 10, how
many were — (Please contact the agency or office
responsible for investigating allegations of sexual
victimization in order to fully complete this form.)

14. Of the allegations reported in Item 13, how
many were — (Please contact the agency or office
responsible for investigating allegations of sexual
victimization in order to fully complete this form.)

a. Substantiated . . . . . . .

None

a. Substantiated . . . . . . .

None

b. Unsubstantiated . . . . .

None

b. Unsubstantiated

....

None

c. Unfounded

None

c. Unfounded

.........

None

d. Investigation ongoing . .

None

d. Investigation ongoing

e. TOTAL (Sum of Items
11a through 11d) . . . . . . .

None

e. TOTAL (Sum of Items
14a through 14d) . . . . . . .

.........

• The total should equal the number reported in Item 10.

FORM SSV-6 (5-11-2017)

.

None

None

• The total should equal the number reported in Item 13.

Page 4

Section III – STAFF-ON-YOUTH SEXUAL ABUSE

15. Does your facility record allegations of STAFF
SEXUAL MISCONDUCT?

DEFINITIONS
Yes

01

The survey utilizes the definition of “sexual abuse” by a staff
member, contractor or volunteer as provided by 28 C.F.R.
§115.6 in the National Standards to Prevent, Detect, and
Respond to Prison Rape (under the Prison Rape Elimination
Act of 2003). For purposes of SSV, sexual abuse is
disaggregated into two categories of staff-on-youth sexual
abuse. These categories are:

02

STAFF SEXUAL MISCONDUCT

No

➔ Do you record all reported

occurrences, or only substantiated
ones?
01

All

02

Substantiated only

➔ Please provide an explanation in the space
below and then skip to Item 18.

Any behavior or act of a sexual nature directed toward a youth by
an employee, volunteer, contractor, official visitor or other agency
representative (exclude family, friends or other visitors).
Sexual relationships of a romantic nature between staff and
youths are included in this definition. Consensual or
nonconsensual sexual acts include–
• Intentional touching, either directly or through the clothing,
of the genitalia, anus, groin, breast, inner thigh, or buttocks
that is unrelated to official duties or with the intent to abuse,
arouse, or gratify sexual desire;
OR
• Completed, attempted, threatened, or requested sexual acts;
OR

16. Between January 1, 2016, and
December 31, 2016, how many allegations of
STAFF SEXUAL MISCONDUCT were reported?

• Occurrences of indecent exposure, invasion of privacy,
or staff voyeurism for reasons unrelated to official duties
or for sexual gratification.

Number reported . . . . . .

• If an allegation involved multiple victimizations, count only
once.

STAFF SEXUAL HARASSMENT
Repeated verbal statements, comments or gestures of a sexual
nature to a youth by an employee, volunteer, contractor, official
visitor, or other agency representative (exclude family, friends,
or other visitors). Include–
• Demeaning references to gender; or sexually suggestive
or derogatory comments about body or clothing;

None

17. Of the allegations reported in Item 16, how
many were — (Please contact the agency or office
responsible for investigating allegations of sexual
victimization in order to fully complete this form.)

a. Substantiated

OR

......

None

• Repeated profane or obscene language or gestures.
....

None

c. Unfounded . . . . . . . . .

None

d. Investigation ongoing

None

e. TOTAL (Sum of Items
17a through 17d) . . . . . .

None

b. Unsubstantiated

• The total should equal the number reported in Item 16.

FORM SSV-6 (5-11-2017)

Page 5

Section IV – TOTAL SUBSTANTIATED
INCIDENTS OF SEXUAL VICTIMIZATION

18. Does your facility record allegations of STAFF
SEXUAL HARASSMENT ? (See definitions on page 5.)
Yes

01

No

02

➔ Can these allegations be counted

21. What is the total number of substantiated
incidents reported in Items 8a, 11a, 14a,
17a, and 20a.

separately from allegations of
STAFF SEXUAL MISCONDUCT?
01

Yes

02

No

➔ Skip to Item 21

Total substantiated
incidents . . . . . . . . . . . . .

None

➔ Please provide an explanation in the space
below and then skip to Item 21.

➔ Please complete a Substantiated Incident Form
(Juvenile, SSV-IJ) for each substantiated
incident of sexual victimization.

NOTES

19. Between January 1, 2016, and
December 31, 2016, how many allegations of
STAFF SEXUAL HARASSMENT were reported?

Number reported . . . . . .

None

• If an allegation involved multiple victims or staff, count
only once.
20. Of the allegations reported in Item 19, how
many were — (Please contact the agency or office
responsible for investigating allegations of sexual
victimization in order to fully complete this form.)

a. Substantiated . . . . . . .

None

b. Unsubstantiated . . . . .

None

c. Unfounded . . . . . . . . . .

None

d. Investigation ongoing .

None

e. TOTAL (Sum of Items 20a
through 20d) . . . . . . . . . .

None

•

The total should equal the number reported in Item 19.

FORM SSV-6 (5-11-2017)

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OMB No. 1121-0292: Approval Expires 04/30/2018

SSV-IA

FORM
(4-27-2017)

U.S. DEPARTMENT OF JUSTICE
BUREAU OF JUSTICE STATISTICS

SURVEY OF SEXUAL VICTIMIZATION, 2016

and ACTING AS COLLECTION AGENT

U.S. DEPT. OF COMMERCE

Substantiated Incident Form (Adult)

Economics and Statistics Admin.

U.S. CENSUS BUREAU

See item 25 on page 3
Incident Number ___ out of ___
1. On what date did the incident occur?
(If more than one date, report the most recent.)
Month Day
Year

6. How many victims were involved in the incident?
Number of victims . . .
➔ If more than two victims were involved,
report their characteristics in Notes on page 5.

2. In what facility did the incident occur?
Name

7. Victim #1: What was the victim’s sex or gender
identity? (See definitions on page 5.)

City/Place

3. Where did the incident occur? (Mark ( X ) all that apply.)
01

In the victim’s cell or room (e.g., if the victim and perpetrator
share a cell or room, count as the victim’s cell)

02

In the perpetrator’s cell or room
In a dormitory or other multiple housing unit

03
04
05
06
07
08
09
10
11
12

13

02
03

Male

03

Transgender

02

Female

04

Intersex

8. Victim #1: What was the victim’s age at the
time of the incident?
01
02
03

Under age 18
18 – 24
25 – 29
30 – 34

05
06
07

35 – 39
40 – 44
45 – 54
55 or older

08
04
In a common area (e.g., shower, dayroom, bathroom)
In a temporary holding cell or intake area within the
facility
9. Victim #1: What was the victim’s race/ethnic origin?
In a program service area (e.g., commissary, kitchen,
(Mark ( X ) all that apply.)
storage, laundry, cafeteria, workshop, hallway)
White (not of Hispanic origin)
01
In an instructional area (e.g., classroom, school, library,
Black (not of Hispanic origin)
02
conference room)
Hispanic or Latino
03
In a recreation area (e.g., yard, courtyard, gymnasium)
American Indian/Alaska Native (not of Hispanic origin)
04
In a medical area (e.g., infirmary, health clinic)
Asian (not of Hispanic origin)
05
In a staff area (e.g., office, break room, counselor’s office)
Native Hawaiian or Other Pacific Islander
06
(not of Hispanic origin)
Offsite or while in transit
Other racial category in your information system –
07
Other – Specify
Specify

Location unknown

4. Did the incident take place in an area subject to
video monitoring?
01

01

Yes
No
Don’t know

5. What time did the incident occur?
(Mark ( X ) all that apply.)
01
Morning (6 a.m. to noon)
02
Afternoon (noon to 6 p.m.)
03
Evening (6 p.m. to midnight)
Overnight (midnight to 6 a.m.)
04
Time unknown
05

10. Victim #2: What was the victim’s sex or gender
identity? (See definitions on page 5.)
01

Male

03

Transgender

02

Female

04

Intersex

11. Victim #2: What was the
time of the incident?
05
01
Under age 18
06
02
18 – 24
03
25 – 29
07
30 – 34
04
08

victim’s age at the
35 – 39
40 – 44
45 – 54
55 or older

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 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.

12. Victim #2: What was the victim’s race/ethnic origin?
(Mark ( X ) all that apply.)
01
02
03
04
05
06
07

White (not of Hispanic origin)
Black (not of Hispanic origin)
Hispanic or Latino
American Indian/Alaska Native (not of Hispanic origin)
Asian (not of Hispanic origin)
Native Hawaiian or Other Pacific Islander
(not of Hispanic origin)
Other racial category in your information system –
Specify

15. After the incident was reported, was the
victim(s) – (Mark ( X ) all that apply for all victims.)
01
Given a medical examination
02
Administered a rape kit
03
Tested for HIV/AIDS
04
Tested for other sexually transmitted diseases
05
Provided with counseling or mental health
treatment
06
Offered but declined testing or treatment
07
Already released/discharged
08
None of the above
16. After the incident was reported, was the
victim(s) – (Mark ( X ) all that apply for all victims.)

13. Did the victim(s) sustain any physical injury
during the incident?
02
01

No (No injury sustained)
Yes ➔ a. What injuries occurred?
(Mark ( X
x ) all that apply for all victims.)
Knife or stab wounds
01
Broken bones
02
Anal or vaginal tearing
03
Chipped or knocked out teeth
04
Internal injuries
05
Knocked unconscious
06
07
Bruises, black eye, sprains, cuts,
scratches, swelling, welts
08
Other – Specify

➔ b. Did the victim(s) receive medical
treatment for these injuries?
01
Yes
02
No
14. Who reported the incident?
(Mark ( X) all that apply.)
01
Victim
Another inmate (non-victim)
02
Victim’s family or friend
03
Correctional officer or front line staff
04
Administrative staff
05
Medical, healthcare, or mental health staff
06
Instructor, teacher, or counselor
07
Other staff (e.g., kitchen worker, maintenance staff)
08
Chaplain or other religion official
09
Perpetrator
10
Perpetrator’s family or friend
11
Grievance coordinator, grievance process, or
12
ombudsperson
Attorney or legal guardian (e.g., other than family member)
13
Confidential informant, anonymous tip, hot line, or
14
through monitoring (e.g., camera, telephone, or mail)
Other – Specify
15

Page 2

01
02
03
04
05
06
07
08

Placed in or returned to administrative segregation,
protective custody, or disciplinary segregation
Placed in a medical unit, ward, or hospital
Confined to own cell or room
Given a higher custody level or different unit within
the facility
Transferred to another facility
Transferred to another housing unit or dorm, or
given a single room or cell
Separated from perpetrator
Issued disciplinary report or loss of privileges

10

Placed in camera room, under closer surveillance,
or increased supervision
Other – Specify

11

None of the above

09

17. What type of sexual violence was involved in
the incident? (See definitions on page 5.)
01
02
03
04
05

Inmate-on-inmate nonconsensual sexual act
→ Complete Section A, below
Inmate-on-inmate abusive sexual contact
→ Complete Section A, below
Inmate-on-inmate sexual harassment
→ Complete Section A, below
Staff sexual misconduct
→ Complete Section B on pages 4–5
Staff sexual harassment
→ Complete Section B on pages 4–5

Section A – INMATE-ON-INMATE SEXUAL VICTIMIZATION
➞ If the perpetrator was a staff member, go
to Section B on pages 4–5.
18. How many inmate perpetrators were involved
in the incident?
Number of inmate perpetrators . . . .
➞ If more than two inmate perpetrators were
involved, report their characteristics in
Notes on page 5.

FORM SSV-IA (4-27-2017)

25. What was the nature of the incident?
(Mark ( X ) all that apply.)

19. Perpetrator #1: What was the inmate
perpetrator’s sex or gender identity?
(See definitions on page 5.)

01

01

Male

03

Transgender

02

02

Female

04

Intersex

03

20. Perpetrator #1: What was the inmate
perpetrator’s age at the time of the incident?
01
02
03

Under age 18
18–24
25–29

04
05
06

30–34
35–39
40–44

07
08

45–54
55 or older

02
03
04
05
06
07

05
06
07
08

21. Perpetrator #1: What was the inmate
perpetrator’s race/ethnic origin?
(Mark ( X) all that apply.)
01

04

09

White (not of Hispanic origin)
Black (not of Hispanic origin)
Hispanic or Latino
American Indian/Alaska Native (not of Hispanic
origin)
Asian (not of Hispanic origin)
Native Hawaiian or Other Pacific Islander
(not of Hispanic Origin)
Other racial category in your information system –
Specify

01

Male

03

Transgender

02

Female

04

Intersex

05

Bribery or blackmail
Gave victim drugs or alcohol

06

Offered protection from other inmates

07

11

Threatened with physical harm
Physically held victim down or restrained in
some way
Physically harmed or injured
Threatened with a weapon
Other – Specify

12

None

08
09

23. Perpetrator #2: What was the inmate
perpetrator’s age at the time of the incident?
01
02
03

Under age 18
18–24
25–29

04
05
06

30–34
35–39
40–44

07
08

02
03
04
05
06
07

10

45–54
55 or older

24. Perpetrator #2: What was the inmate
perpetrator’s race/ethnic origin?
(Mark ( X ) all that apply.)
01

White (not of Hispanic origin)
Black (not of Hispanic origin)
Hispanic or Latino
American Indian/Alaska Native (not of Hispanic
origin)
Asian (not of Hispanic origin)
Native Hawaiian or Other Pacific Islander
(not of Hispanic Origin)
Other racial category in your information system –
Specify

27. What sanction was imposed on the perpetrator(s)?
(Mark ( X) all that apply for all perpetrators.)
01
Placed in solitary confinement or disciplinary
segregation
02
Confined to own cell or room
03
Placed in higher custody level, restricted unit or
program, within the same facility
04
Transferred to other unit/cell or separated from victim
Transferred to another facility
05
06
07
08
09
10
11
12
13

FORM SSV-IA (4-27-2017)

Unwanted touching for sexual gratification or
abusive sexual contact
Pressure or coercion (without force) resulting in a
nonconsensual sexual act
Physical force (or the threat of force) resulting
in a nonconsensual sexual act
Other – Specify

26. What type of pressure or physical force was
used by the inmate perpetrator on the victim?
(Mark ( X) all that apply for all perpetrators.)
Sexual harassment, sexual innuendo, or verbal
01
comments
Persuasion or talked into sexual activity
02
03
Surprised the victim with unwanted touching,
grabbing or groping, or victim was asleep
04

22. Perpetrator #2: What was the inmate
perpetrator’s sex or gender identity?
(See definitions on page 5.)

Voluntary sexual contact between inmates
Sexual harassment
Indecent exposure, masturbation, or voyeurism
Horseplay
Repeated and unwelcome sexual advances or
requests for sexual favors

Loss of "good/gain" time, increase in "bad" time or
delayed release
Given extra work
Loss of privileges, disciplinary report or conduct
violation, or other reprimand
Sent to counseling or treatment team
Arrested or referred to law enforcement agency
Referred for prosecution or indicted
Convicted, given new sentence, or fined
Other – Specify

Page 3

Section B – STAFF-ON-INMATE SEXUAL ABUSE
➔ If the perpetrator was an inmate, go to
Section A on pages 2–3.

28. What was the nature of the incident?
(Mark ( X) all that apply.)
01
02
03
04
05
06
07
08

09

33. Staff #2: What was the gender of the staff?
01

Male

02

Female

34. Staff #2: What was the age of the staff at the
time of the incident?

24 or younger
01
40 – 44
05
Physical force resulting in a nonconsensual
25 – 29
02
45 – 54
06
sexual act
30 – 34
03
07
55 or older
Pressure or abuse of power resulting in a
35 – 39
04
nonconsensual sexual act
Indecent exposure, invasion of privacy, or
35. Staff #2: What was the race/ethnic origin of the
voyeurism for sexual gratification
staff involved in the incident?
(Mark ( X) all that apply.)
Unwanted touching for sexual gratification
White (not of Hispanic origin)
01
Sexual harassment or repeated verbal statements
of a sexual nature by staff
02
Black (not of Hispanic origin)
Wrote letters, showed pictures, or
03
Hispanic or Latino
offered gifts or special privileges to inmate
American Indian/Alaska Native (not of Hispanic
04
Sexual relationship between inmate and staff
origin)
that appeared to be willing
05
Asian (not of Hispanic origin)
Other – Specify
Native Hawaiian or Other Pacific Islander
06
(not of Hispanic origin)
07
Other racial category in your information system –
Specify
Level of coercion unknown

29. How many staff were involved in the incident?
Number of staff . . . .
➔ If more than two staff were involved, report
their characteristics in Notes on page 5.

36. Was the staff involved in the incident an employee
of the facility, a contractor, or a volunteer?
(Mark ( X) all that apply for all staff involved.)
01
02

30. Staff #1: What was the gender of the staff?
01

Male

02

Female

03
04

Full– or part–time paid employee
Contract employee or vendor
Volunteer or intern
Other – Specify

31. Staff #1: What was the age of the staff at the
time of the incident?
01
02
03
04

24 or younger
25 – 29
30 – 34
35 – 39

05
06
07

40 – 44
45 – 54
55 or older

32. Staff #1: What was the race/ethnic origin of the
staff involved in the incident?
(Mark ( X) all that apply.)
01
02
03
04
05
06
07

Page 4

White (not of Hispanic origin)
Black (not of Hispanic origin)
Hispanic or Latino
American Indian/Alaska Native (not of Hispanic
origin)
Asian (not of Hispanic origin)
Native Hawaiian or Other Pacific Islander
(not of Hispanic origin)
Other racial category in your information system –
Specify

37. What was the primary position description of
the staff involved in the incident?
(Mark ( X) all that apply for all staff involved.)
01
02
03
04

05

06
07
08
09

Administrator, including wardens, superintendents,
assistants and others in administrative positions
Correctional officer or supervisory staff
Clerical staff including secretaries, clerks,
receptionists, and other administrative support
Maintenance and other facility support staff,
including groundskeepers, janitors, cooks, and
drivers
Medical or health care staff, including counselors,
doctors, dentists, psychologists, psychiatrists,
social workers, nurses, and medical assistants
Education staff, including instructors, teachers,
librarians, and education assistants
Other program staff
Volunteers or Interns
Other staff – Specify

FORM SSV-IA (4-27-2017)

Definitions

38. What sanction was imposed on the staff?
(Mark ( X ) all that apply for all staff involved.)

11

Sent to training or counseling
Reprimanded or disciplined
Demoted, diminished responsibilities, or
suspended temporarily
Transferred to another facility or unit
Arrested or referred to law enforcement agency
Referred for prosecution or indicted
Convicted, plead guilty, sentenced, or fined
Discharged, terminated, or contract not renewed
Staff resigned (prior to completion of investigation)
Staff resigned (after investigation was completed)
Other – Specify

12

No action taken

01
02
03
04
05
06
07
08
09
10

39. At the time of the incident, how long had the
staff worked at the facility?
(Mark ( X ) all that apply for all staff involved.)
01
Less than 6 months
6 months to 1 year
02
1 to 5 years
03
5 to 10 years
04
More than 10 years
05

NOTES

Sexual victimization
NONCONSENSUAL SEXUAL ACTS: Sexual contact of any
person without his or her consent, or of a person who is
unable to consent or refuse;
AND
Contact between the penis and the vulva or the penis
and the anus including penetration, however slight; OR
Contact between the mouth and the penis, vulva, or anus;
OR
Penetration of the anal or genital opening of another person,
however slight, by a hand, finger, object, or other
instrument.
ABUSIVE SEXUAL CONTACT (less severe): Sexual
contact of any person without his or her consent, or of a
person who is unable to consent or refuse;
AND
Intentional touching, either directly or through the clothing,
of the genitalia, anus, groin, breast, inner thigh, or buttocks
of any person.
EXCLUDE incidents in which the contact was incidental to a
physical altercation.
SEXUAL HARASSMENT BY ANOTHER INMATE: Repeated
and unwelcome sexual advances, requests for sexual favors,
or verbal comments, gestures, or actions of a derogatory or
offensive sexual nature by one inmate directed toward
another.
STAFF SEXUAL MISCONDUCT: Any behavior or act of a
sexual nature directed toward an inmate by an employee,
volunteer, contractor, official visitor or other agency
representative (exclude family, friends or other visitors).
Sexual relationships of a romantic nature between staff and
inmates are included in this definition. Consensual or
nonconsensual sexual acts include—
Intentional touching, either directly or through the clothing,
of the genitalia, anus, groin, breast, inner thigh, or buttocks
that is unrelated to official duties or with the intent to
abuse, arouse, or gratify sexual desire;
OR
Completed, attempted, threatened, or requested sexual acts;
OR
Occurrences of indecent exposure, invasion of privacy, or
staff voyeurism for reasons unrelated to official duties or for
sexual gratification.
STAFF SEXUAL HARASSMENT: Repeated verbal
comments or gestures of a sexual nature to an inmate by an
employee, volunteer, contractor, official visitor, or other
agency representative (excludes family, friends, or other
visitors). Include demeaning references to gender; or sexually
suggestive or derogatory comments about body or clothing;
OR
Repeated profane or obscene language or gestures.
Gender categories
TRANSGENDER: A person whose gender identity (i.e.,
internal sense of feeling male or female) is different from
the person’s assigned sex at birth.
INTERSEX: A person whose sexual or reproductive anatomy or
chromosomal pattern does not seem to fit typical definitions of
male or female. Intersex medical conditions are sometimes
referred to as disorders of sex development.

FORM SSV-IA (4-27-2017)

Save As

Print Form

Clear Fields

Page 5

OMB No. 1121-0292: Approval Expires 04/30/2018

SSV-IJ

FORM
(4-27-2017)

U.S. DEPARTMENT OF JUSTICE
BUREAU OF JUSTICE STATISTICS

SURVEY OF SEXUAL VICTIMIZATION, 2016

and ACTING AS COLLECTION AGENT

U.S. DEPT. OF COMMERCE

Substantiated Incident Form (Juvenile)

Economics and Statistics Admin.

U.S. CENSUS BUREAU

See item 25 on page 3

Incident Number ___ out of ___

6. How many victims were involved in the incident?

1. On what date did the incident occur?
(If more than one date, report the most recent.)
Month Day
Year

Number of victims . . . .
➔ If more than two victims were involved, report
their characteristics in Notes on page 5.

2. In what facility did the incident occur?
Name
7. Victim #1: What was the victim’s sex or gender
identity? (See definitions on page 5.)

City/Place

01
02

Male
Female

03
04

Transgender
Intersex

3. Where did the incident occur? (Mark ( X ) all that apply.)
01

02
03
04
05
06
07
08
09
10
11
12

13

8. Victim #1: What was the victim’s age at the time
of the incident?
In the victim’s cell or room (e.g., if the victim and
perpetrator share a cell or room, count as the victim’s
01
Under age 13
04
18–19
cell)
05
20–24
02
13–15
In the perpetrator’s cell or room
03
16–17
06
25 or older
In a dormitory or other multiple housing unit
In a common area (e.g., shower, dayroom, bathroom)
In a temporary holding cell or admissions area within 9. Victim #1: What was the victim’s race/ethnic origin?
the facility
(Mark ( X ) all that apply.)
In a program service area (e.g., commissary, kitchen,
White (not of Hispanic origin)
01
storage, laundry, cafeteria, workshop, hallway)
Black (not of Hispanic origin)
02
In an instructional area (e.g., classroom, school, library,
Hispanic or Latino
03
conference room)
04
American Indian/Alaska Native (not of Hispanic origin)
In a recreation area (e.g., yard, courtyard, gymnasium)
05
Asian (not of Hispanic origin)
In a medical area (e.g., Infirmary, health clinic)
06
Native Hawaiian or Other Pacific Islander
In a staff area (office, break room, counselor’s office)
(not of Hispanic origin)
Offsite or while in transit
Other racial category in your information system –
07
Other – Specify
Specify
Location unknown

4. Did the incident take place in an area subject to
video monitoring?
01
02
03

Yes
No
Don’t know

5. What time did the incident occur?
(Mark ( X ) all that apply.)
01
02
03
04
05

Morning (6 a.m. to noon)
Afternoon (noon to 6 p.m.)
Evening (6 p.m. to midnight)
Overnight (midnight to 6 a.m.)
Unknown

10. Victim #2: What was the victim’s sex or gender
identity? (See definitions on page 5.)
01
02

Male
Female

03
04

Transgender
Intersex

11. Victim #2: What was the victim’s age at the time
of the incident?
01
02
03

Under age 13
13–15
16–17

04
05
06

18–19
20–24
25 or older

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 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.

12. Victim #2: What was the victim’s race/ethnic origin?
(Mark ( X ) all that apply.)
01
02
03
04
05
06
07

White (not of Hispanic origin)
Black (not of Hispanic origin)
Hispanic or Latino
American Indian/Alaska Native (not of Hispanic origin)
Asian (not of Hispanic origin)
Native Hawaiian or Other Pacific Islander
(not of Hispanic origin)
Other racial category in your information system –
Specify

13. Did the victim(s) sustain any physical injury
during the incident?
02
01

No (No injury sustained)
Yes ➔ a. What injuries occurred?
(Mark ( X ) all that apply for all victims.)
Knife or stab wounds
01
Broken bones
02
Anal or vaginal tearing
03
Chipped or knocked out teeth
04
Internal injuries
05
Knocked unconscious
06
07
Bruises, black eye, sprains, cuts,
scratches, swelling, welts
08
Other – Specify
➔ b. Did the victim(s) receive medical
treatment for these injuries?
01
Yes
02
No

14. Who reported the incident?
(Mark ( X ) all that apply.)
01
Victim
Another youth (non-victim)
02
Victim’s family or friend
03
Correctional officer or front line staff
04
Administrative staff
05
Medical, healthcare, or mental health staff
06
Instructor, teacher, or counselor
07
Other staff (e.g., kitchen worker, maintenance staff)
08
Chaplain or other religious official
09
Perpetrator
10
Perpetrator’s family or friend
11
Grievance coordinator, grievance process, or
12
ombudsperson
Attorney or legal guardian (e.g., other than family
13
member)
Confidential informant, anonymous tip, hot line, or
14
through monitoring (e.g., camera, telephone, or mail)
Other – Specify
15

15. After the incident was reported, was the
victim(s) – (Mark ( X ) all that apply for all victims.)
01
Given a medical examination
02
Administered a rape kit
03
Tested for HIV/AIDS
04
Tested for other sexually transmitted diseases
05
Provided with counseling or mental health
treatment
06
Offered but declined testing or treatment
07
Already released/discharged
08
None of the above
16. After the incident was reported, was the
victim(s) – (Mark ( X ) all that apply for all victims.)
01
Placed in or returned to administrative segregation,
protective custody, or disciplinary segregation
02
Placed in a medical unit, ward, or hospital
03
Confined to own cell or room
04
Given a higher custody level/different unit within
the facility
05
Transferred to another facility
06
Transferred to another housing unit or dorm, or
given a single room or cell
07
Separated from perpetrator
08
Issued disciplinary report or loss of privileges
09
Placed in camera room, under closer surveillance,
or increased supervision
10
Other – Specify

11

None of the above

17. What type of sexual violence was involved in
the incident? (See definitions on page 5.)
01
Youth–on–youth nonconsensual sexual act
→ Complete Section A, below
02
Youth–on–youth abusive contact
→ Complete Section A, below
03
Youth–on–youth sexual harassment
→ Complete Section A, below
04
Staff sexual misconduct
→ Complete Section B on pages 4–5
05
Staff sexual harassment
→ Complete Section B on pages 4–5

Section A – YOUTH-ON-YOUTH SEXUAL VICTIMIZATION
➞ If the perpetrator was a staff member, go
to Section B on pages 4–5.
18. How many youth perpetrators were involved in
the incident?
Number of youth perpetrators . . . .
➞ If more than two youth perpetrators were
involved, report their characteristics in Notes
on page 5.

Page 2

FORM SSV-IJ (4-27-2017)

19. Perpetrator #1: What was the youth perpetrator’s
sex or gender identity? (See definitions on page 5.)
01
02

Male
Female

03
04

Transgender
Intersex

20. Perpetrator #1: What was the youth perpetrator’s
age at the time of the incident?
01
02
03

Under age 13
13–15
16–17

04
05
06

18–19
20–24
25 or older

21. Perpetrator #1: What was the youth perpetrator’s
race/ethnic origin? (Mark ( X ) all that apply.)
01
02
03
04
05
06
07

White (not of Hispanic origin)
Black (not of Hispanic origin)
Hispanic or Latino
American Indian/Alaska Native (not of Hispanic
origin)
Asian (not of Hispanic origin)
Native Hawaiian or Other Pacific Islander
(not of Hispanic Origin)
Other racial category in your information system –
Specify

22. Perpetrator #2: What was the youth perpetrator’s
sex or gender identity? (See definitions on page 5.)
01
02

Male
Female

03
04

Transgender
Intersex

23. Perpetrator #2: What was the youth perpetrator’s
age at the time of the incident?
01
02
03

Under age 13
13–15
16–17

04
05
06

18–19
20–24
25 or older

25. What was the nature of the incident?
(Mark ( X ) all that apply.)
01 X
02
03
04
05
06
07
08
09

Voluntary sexual contact between youths
Sexual harassment
Indecent exposure, masturbation, or voyeurism
Horseplay
Repeated and unwelcome sexual advances or
requests for sexual favors
Unwanted touching for sexual gratification or
abusive sexual contact
Pressure or coercion (without force) resulting
in a nonconsensual sexual act
Physical force (or the threat of force) resulting
in a nonconsensual sexual act
Other – Specify

26. What type of pressure or physical force was
used by the youth perpetrator on the victim?
(Mark ( X ) all that apply for all perpetrators.)
01 X Sexual harassment, sexual innuendo, or
verbal comments
Persuasion or talked into sexual activity
02
03
Surprised the victim with unwanted touching,
grabbing or groping, or victim was asleep
04
Bribery or blackmail
05
Gave victim drugs or alcohol
06
Offered protection from other youth
07
Threatened with physical harm
Physically held victim down or restrained in
08
some way
09
Physically harmed or injured
Threatened with a weapon
10
11
Other – Specify

24. Perpetrator #2: What was the youth perpetrator’s
race/ethnic origin? (Mark ( X ) all that apply.)
01
02
03
04
05
06
07

12
None
White (not of Hispanic origin)
Black (not of Hispanic origin)
27. What sanction was imposed on the perpetrator(s)?
Hispanic or Latino
(Mark ( X ) all that apply for all perpetrators.)
American Indian/Alaska Native (not of Hispanic
01
Placed in solitary confinement or disciplinary
origin)
segregation
Asian (not of Hispanic origin)
02
Confined to own cell or room
Native Hawaiian or Other Pacific Islander
03
Placed in higher custody level, restricted unit or
(not of Hispanic Origin)
program, within the same facility
Other racial category in your information system –
04
Transferred to other unit/cell or separated from
Specify
victim
05
Transferred to another facility
06
Loss of "good/gain" time or increase in "bad"
time/delayed release
07
Given extra work
08
Loss of privileges, disciplinary report or conduct
violation, or other reprimand
09
Sent to counseling or treatment team
10
Arrested or referred to law enforcement agency
11
Referred for prosecution or indicted
12
Convicted, given new sentence, or fined
Other – Specify
13

FORM SSV-IJ (4-27-2017)

Page 3

Section B – STAFF-ON-YOUTH SEXUAL ABUSE

➔ If the perpetrator was a youth, go
to Section A on pages 2–3.
28. What was the nature of the incident?
(Mark ( X) all that apply.)
Physical force resulting in a nonconsensual
sexual act
Pressure or abuse of power resulting in a
nonconsensual sexual act
Indecent exposure, invasion of privacy, or
voyeurism for sexual gratification
Unwanted touching for sexual gratification
Sexual harassment or repeated verbal statements
of a sexual nature by staff
Wrote letters, showed pictures, or offered gifts or
special privileges to youth
Sexual relationship between youth and staff
that appeared to be willing
Other – Specify

01
02
03
04
05
06
07
08

33. Staff #2: What was the gender of the staff?
01

02

Female

34. Staff #2: What was the age of the staff at the
time of the incident?
01
02
03
04

24 or younger
25 – 29
30 – 34
35 – 39

05
06
07

40 – 44
45 – 54
55 or older

35. Staff #2: What was the race/ethnic origin of the
staff involved in the incident?
(Mark ( X ) all that apply.)
01
02
03
04
05
06
07

Level of coercion unknown

09

Male

White (not of Hispanic origin)
Black (not of Hispanic origin)
Hispanic or Latino
American Indian/Alaska Native (not of Hispanic
origin)
Asian (not of Hispanic origin)
Native Hawaiian or Other Pacific Islander
(not of Hispanic origin)
Other racial category in your information system –
Specify

29. How many staff were involved in the incident?
Number of staff . . . . .

➔ If more than two staff were involved, report
their characteristics in Notes on page 5.

36. Was the staff involved in the incident an employee
of the facility, a contractor, or a volunteer?
(Mark ( X ) all that apply for all staff involved.)
01
02

30. Staff #1: What was the gender of the staff?
01

Male

02

Female

03
04

Full– or part–time paid employee
Contract employee or vendor
Volunteer or intern
Other – Specify

31. Staff #1: What was the age of the staff at the
time of the incident?
01
02
03
04

24 or younger
25 – 29
30 – 34
35 – 39

05
06
07

40 – 44
45 – 54
55 or older

32. Staff #1: What was the race/ethnic origin of the
staff involved in the incident?
(Mark ( X ) all that apply.)
01
02
03
04
05
06
07

Page 4

White (not of Hispanic origin)
Black (not of Hispanic origin)
Hispanic or Latino
American Indian/Alaska Native (not of Hispanic
origin)
Asian (not of Hispanic origin)
Native Hawaiian or Other Pacific Islander
(not of Hispanic origin)
Other racial category in your information system –
Specify

37. What was the primary position description of
the staff involved in the incident?
(Mark ( X ) all that apply for all staff involved.)

08

Administrator, including wardens,
superintendents, assistants and others in
administrative positions
Correctional officer or supervisory staff
Clerical staff including secretaries, clerks,
receptionists, and other administrative support
Maintenance and other facility support staff,
including groundskeepers, janitors, cooks, and
drivers
Medical or health care staff, including counselors,
doctors, dentists, psychologists, psychiatrists,
social workers, nurses, and medical assistants
Education staff, including instructors, teachers,
librarians, and education assistants
Other program staff
Volunteers or Interns

09

Other staff – Specify

01

02
03
04

05

06
07

FORM SSV-IJ (4-27-2017)

Definitions

38. What sanction was imposed on the staff?
(Mark ( X ) all that apply for all staff involved.)
01
02
03

04
05

Sexual victimization

Sent to training or counseling
Reprimanded or disciplined
Demoted, diminished responsibilities, or
suspended temporarily
Transferred to another facility or unit
Arrested or referred to law enforcement
agency

10

Referred for prosecution or indicted
Convicted, plead guilty, sentenced, or fined
Discharged, terminated, or contract not renewed
Staff resigned (prior to completion of investigation)
Staff resigned (after investigation was completed)

11

Other – Specify

12

No action taken

06
07
08
09

NONCONSENSUAL SEXUAL ACTS: Sexual contact of any
person without his or her consent, or of a person who is
unable to consent or refuse;
AND
Contact between the penis and the vulva or the penis
and the anus including penetration, however slight; OR
Contact between the mouth and the penis, vulva, or anus;
OR
Penetration of the anal or genital opening of another person,
however slight, by a hand, finger, object, or other instrument.
ABUSIVE SEXUAL CONTACT (less severe): Sexual
contact of any person without his or her consent, or of a
person who is unable to consent or refuse;
AND
Intentional touching, either directly or through the clothing, of
the genitalia, anus, groin, breast, inner thigh, or buttocks of
any person.
EXCLUDE incidents in which the contact was incidental to a
physical altercation.

39. At the time of the incident, how long had the
staff worked at the facility?
(Mark ( X ) all that apply for all staff involved.)
01
Less than 6 months
6 months to 1 year
02
1 to 5 years
03
5 to 10 years
04
More than 10 years
05

NOTES

SEXUAL HARASSMENT BY ANOTHER YOUTH: Repeated
and unwelcome sexual advances, requests for sexual favors, or
verbal comments, gestures, or actions of a derogatory or
offensive sexual nature by one youth directed toward another.
STAFF SEXUAL MISCONDUCT: Any behavior or act of a
sexual nature directed toward a youth by an employee,
volunteer, contractor, official visitor or other agency
representative (exclude family, friends or other visitors).
Sexual relationships of a romantic nature between staff and
youths are included in this definition. Consensual or
nonconsensual sexual acts include—
Intentional touching, either directly or through the clothing, of
the genitalia, anus, groin, breast, inner thigh, or buttocks that
is unrelated to official duties or with intent to abuse, arouse,
or gratify sexual desire;
OR
Completed, attempted, threatened, or requested sexual acts;
OR
Occurrences of indecent exposure, invasion of privacy, or
staff voyeurism for reasons unrelated to official duties or for
sexual gratification.
STAFF SEXUAL HARASSMENT: Repeated verbal
comments or gestures of a sexual nature to a youth by an
employee, volunteer, contractor, official visitor, or other
agency representative (excludes family, friends, or other
visitors). Include demeaning references to gender; or sexually
suggestive or derogatory comments about body or clothing;
OR
Repeated profane or obscene language or gestures.
Gender categories
TRANSGENDER: A person whose gender identity (i.e.,
internal sense of feeling male or female) is different from the
person’s assigned sex at birth.
INTERSEX: A person whose sexual or reproductive
anatomy or chromosomal pattern does not seem to fit
typical definitions of male or female. Intersex medical
conditions are sometimes referred to as disorders of sex
development.

FORM SSV-IJ (4-27-2017)

Save As

Print Form

Clear Fields

Page 5

Attachment 3
PREA Standards

Attachment 3

Excerpt from National Standards to Prevent, Detect, and Respond to Prison Rape,
28 C.F.R. Part 115.
§ 115.87 Data collection.
(a) The agency shall collect accurate, uniform data for every allegation of sexual abuse at facilities under
its direct control using a standardized instrument and set of definitions.
(b) The agency shall aggregate the incident-based sexual abuse data at least annually.
(c) The incident-based data collected shall include, at a minimum, the data necessary to answer all
questions from the most recent version of the Survey of Sexual Violence conducted by the Department of
Justice.
(d) The agency shall maintain, review, and collect data as needed from all available incident-based
documents, including reports, investigation files, and sexual abuse incident reviews.
(e) The agency also shall obtain incident-based and aggregated data from every private facility with which
it contracts for the confinement of its inmates.
(f) Upon request, the agency shall provide all such data from the previous calendar year to the
Department of Justice no later than June 30.

Attachment 4
Comments Received during 60-Day Notice

Attachment 4
Request for forms
Rantala, Ramona (OJP)
From:
Sent:
To:
Subject:

Meghan Maury
Monday, February 26, 2018 10:54 AM
Rantala, Ramona (OJP)
Survey of Sexual Victimization

Follow Up Flag:
Flag Status:

Follow up
Flagged

Good morning, 

I’m writing to request a copy of the revised survey of sexual victimization, listed in the Federal Register here: 
https://www.federalregister.gov/d/2018‐03813.  I’m interested in understanding what changes were made to the 
survey.  If you have any additional information about the changes made, that would be much appreciated as well! 

Best, 
Meghan 

Meghan Maury 
Policy Director 
National LGBTQ Task Force 
[email protected] 
(202) 639‐6322 

PRIVILEGE AND CONFIDENTIALITY NOTICE: This email and any attachments may contain privileged or confidential 
information and is/are for the sole use of the intended recipient(s). Any unauthorized use or disclosure of this 
communication is prohibited. If you believe that you have received this email in error, please notify the sender 
immediately and delete it from your system.  

Attachment 4
Comments 1-2
Rantala, Ramona (OJP)
From:
Sent:
To:
Subject:

Prisk, Kendra
Monday, March 05, 2018 2:23 PM
Rantala, Ramona (OJP)
Agency Information Collection Activities; Proposed Collection Comments Requested;
Extension With Change of Currently Approved Collection: 2017-19 Survey of Sexual
Victimization (SSV)

Follow Up Flag:
Flag Status:

Follow up
Flagged

Good afternoon.  I am not sure how to submit a comment related to the SSV as when I click “submit a formal comment” 
it takes me to a section of the page and then does not allow for any comments or submission.  The comment I have is 
below.  Thank you  

The SSV and PREA should more closely match as PREA has sexual abuse and sexual harassment, whereas the SSV has 
Non‐Consensual Sex Acts, Abusive Sexual Contact, Staff Sexual Misconduct and then Sexual Harassment for both inmate 
on inmate and staff on inmate.  Also, the SSV asks for completed and attempted.  An attempted sexual assault may not 
always meet the PREA definitions and thus may not technically be considered a PREA incident.  For agencies who do 
data collection, the broad definitions of PREA and then the very narrow definitions of the SSV are conflicting sometimes 
and cause data collection issues.  Thank you  

Kendra Prisk  
Prison Rape Elimination Act (PREA) Coordinator/Operations Manager  
Florida Department of Corrections  
Office of Institutions  
Phone: 850‐717‐3303  
Cell: 850‐688‐5092 
Fax: 850‐413‐8184 

Our Vision: "Inspiring success by transforming one life at a time."

Attachment 4
Comments 3-5

ANDREW M. CUOMO
Governor

ANTHONY J. ANNUCCI
Acting Commissioner

April 26, 2018
Ms. Ramona Rantala
Statistician, Bureau of Justice Statistics
810 Seventh Street NW
Washington, DC 20531
[email protected]
Re:

DOJ, BJS OMB Number 1121-0292 SSV Public Comment

Dear Ms. Rantala:
On behalf of the New York State Department of Corrections and Community Supervision(DOCCS),
please accept these comments and proposed changes to the Survey of Sexual Victimization collection
instrument in response to the request for public comment for the Office of Management and Budget
(OMB) for your review and consideration.
Our comments address the following points concerning this request:
1.

Evaluate the accuracy of the estimated burden of completing the SSV.

2.

Evaluate whether the quality, utility, and clarity of the information collected can be
enhanced.

3.
Can the burden be minimized using automated, electronic or technological techniques?
Comment 3
1.
Evaluate the accuracy of the estimated burden of completing the SSV.
The Bureau of Justice Statistics estimates the time to complete the SSV-2 (summary form) is
approximately 60 minutes and 30 minutes to complete the SSV-IA (individual form). DOCCS
experience is that this estimate is not accurate.
On average, it takes 90-120 minutes to complete each SSV-IA form and 30-45 minutes to complete the
SSV-2. Both forms are subject to a four-tier review process to verify the data for completion. Each
substantiated incident form is first completed by the case investigator and uploaded in PDF format.
Once completed, the PREA Analyst conducts a second review of the details in each incident and
completes a revised form. A final review is conducted in conjunction with the Agency-Wide PREA
Coordinator, the Office of Special Investigations and the Division of Program, Planning, Research &
Evaluation. A final draft is completed and forwarded to the Commissioner for final approval. Once

The Harriman State Campus, 1220 Washington Avenue, Albany, NY 12226-2050 │ (518) 457-8126 │ www.doccs.ny.gov

DOJ, BJS OMB Number 1121-0292 SSV Public Comment
April 26, 2018
Page 2

Attachment 4
Comments 3-5

approved, the DOCCS PREA Analyst must re-enter all required information through the Census Bureau
secure website.
DOCCS recommends allowing agencies to submit the SSV-2 and SSV-IA forms in an electronic format.
This could either be accomplished by permitting the agency to upload the PDF fillable forms or through
submission of .csv files setting forth the data in a format proscribed by BJS. See response to # 3 for
further discussion.
Comment 4
2.
Evaluate whether the quality, utility, and clarity of the information collected can be enhanced.
DOCCS has reviewed the SSV-IA and SSV-2 forms for this request for public comment. After a careful
review, we offer the following suggestions for your consideration.
Comment 4a
SSV-IA - Question # 4 “Did the incident take place in an area subject to video monitoring?”
New York State DOCCS recognizes that the use of video monitoring technology is expanding and
changing. In particular, DOCCS is currently piloting the use of body worn cameras in several facilities
and, through the Body-Worn Camera (BWC) Policy and Implementation Program FY 2017 Competitive
Grant, we will be expanding this program. DOCCS recommends expanding the responses to this
question to include both fixed and portable video recording capabilities.
Comment 4b
SSV-IA - Question # 17 “What type of sexual violence was involved in the incident? (See
definitions on page 5.)”
This question seeks to place each allegation in a category of sexual abuse or sexual harassment by
type of misconduct and status of perpetrator (i.e., staff or inmate). DOCCS has experienced allegations
where the inmate victim could not or does not identify whether the perpetrator was a staff member or
an inmate. In these cases, it is not possible to choose the type of sexual violence involved in the
incident. The inmate is provided with the same level of care and response protocols remain the same.
However, this type of allegation does not fall under the definitions provided on page 5 of the SSV-IA.
We suggest including a new type of sexual violence – “Sexual Abuse - Perpetrator Type Unidentified”.
Comment 4c1
SSV-IA - Question # 25 “What was the nature of the incident? (Mark ( ) all that apply.)”
Remove value number 01 “voluntary sexual contact between inmates” – consensual sexual contact
between inmates is excluded from the survey and do not fall under PREA. We suggest replacing this
option with a new choice in question # 25 – “involuntary sexual contact resulting from a lack of capacity
to consent.”
Comment 4c2
SSV-IA - Question # 26 “What type of pressure or physical force was used by the inmate
perpetrator on the victim? (Mark ( ) all that apply for all perpetrators.)”

The Harriman State Campus, 1220 Washington Avenue, Albany, NY 12226-2050 │ (518) 457-8126 │ www.doccs.ny.gov

DOJ, BJS OMB Number 1121-0292 SSV Public Comment
April 26, 2018
Page 3

Attachment 4
Comments 3-5

Similar to the recommendation above, there are incarcerated individuals who lack the legal capacity to
consent to consensual sexual contact and represent a more vulnerable population. In these scenarios,
the individual would not have the legal ability to consent to a sexual act with another inmate or any
other individual. We suggest adding a value to question # 26 – “lack of capacity to consent”.
Comment 4d
SSV-IA - Question # 37 “What was the primary position description of the staff involved in the
incident? (Mark ( ) all that apply for all staff involved.)”
DOCCS suggests revisions to the options for categories of staff involved. Category 02 should be limited
to “correctional officer.” New choices should be added for “uniformed supervisory staff,” “non-uniformed
supervisory staff,” and “Program staff including counselors, case managers, case workers” as
additional choices.
Comment 4e
SSV-2 summary form – Various questions asking how many of each case type had a particular
outcome determination for PREA allegations made during the previous calendar year.
The investigative process can take time to complete, or to reach a final adjudication where the
allegations are substantiated. Cases which are ongoing at the time of survey submission will be closed
at a later date. Outcome determinations for cases closed after survey submission are not captured or
included in any measure by BJS.
DOCCS recommends adding a mechanism for the reporting the outcome of allegations that were
reported as ongoing in the previous survey year.
Comment 5
3.
Can the burden be minimized using automated, electronic or technological techniques?
As described in the comments above regarding the estimated length of time required to complete the
SSV-2 and SSV-IA, and for ease of reporting, we suggest developing a mechanism to allow agencies
to submit their data without having to re-enter the responses through the Census Bureau website. We
suggest either permitting the agencies to upload the electronically completed PDF versions of the
questionnaires or, in the alternative, developing a process to allow agencies to submit one complete
.csv file rather than a separate form for each individual incident. Such a process will reduce the burden
of completing the survey documents, and increase the accuracy by minimize the potential for error
when transposing the data. As a result, it will reduce the amount of time required for a thorough and
complete review.
Sincerely,

Jason D. Effman
Associate Commissioner
The Harriman State Campus, 1220 Washington Avenue, Albany, NY 12226-2050 │ (518) 457-8126 │ www.doccs.ny.gov

Attachment 4
Comment 6
Rantala, Ramona (OJP)
From:
Sent:
To:
Subject:

jean public
Monday, February 26, 2018 2:34 PM
Rantala, Ramona (OJP)
Re: Delivery Status Notification (Failure)

Follow Up Flag:
Flag Status:

Follow up
Flagged

sorry I misspelled your name
On Mon, Feb 26, 2018 at 2:14 PM, Mail Delivery Subsystem wrote:

Address not found
Your message wasn't delivered to [email protected] because the address couldn't be found,
or is unable to receive mail.

The response from the remote server was:
550 5.1.1 ... User Unknown

Final-Recipient: rfc822; [email protected]
Action: failed
Status: 5.1.1
Remote-MTA: dns; mx-jdcw.usdoj.gov. (2607:f330:8400:402::25, the server for
the domain usdoj.gov.)
Diagnostic-Code: smtp; 550 5.1.1 ... User Unknown
Last-Attempt-Date: Mon, 26 Feb 2018 11:14:51 -0800 (PST)
---------- Forwarded message ---------From: jean public
To: [email protected], [email protected], INFO , media
, [email protected], [email protected]
Cc:
Bcc:

Attachment 4
Comment 6

Date: Mon, 26 Feb 2018 14:14:48 -0500
Subject: Re: cdc does a duplicae surey - why are taxpayers paying for two of them - cut the waste please
public comment on federasl registet
Comment 6
this does not have to be done every year.it can be done every 3 to 5
yearsw. there is no reason at all to spend this huge amount of money and
employee time on this survey every single year. what action will result
when you get the results of this survey? nothing. its just to do a press
release? that makes no sense, spending all this time and money when the
only result will be a press release. please send me the latest report and
action you have developed from the last such survey on this subject you
used tax dollars to cover. it is clear that this survey is worthless and we
need to downsize what is not accomplishing anything and losing tax dollars
for nothing. this comment is for the public record. please receipt. jean
publiee [email protected]
On Mon, Feb 26, 2018 at 9:43 AM, barbara sachau wrote:
> Federal Register, Volume 83 Issue 38 (Monday, February 26, 2018)
>
> [Federal Register Volume 83, Number 38 (Monday, February 26, 2018)]
> [Notices]
> [Page 8300]
> From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
> [FR Doc No: 2018-03813]
>
>
> ---------------------------------------------------------------------->
> DEPARTMENT OF JUSTICE
>
> [OMB Number 1121-0292]
>
>
> Agency Information Collection Activities; Proposed Collection
> Comments Requested; Extension With Change of Currently Approved
> Collection: 2017-19 Survey of Sexual Victimization (SSV)
>
> AGENCY: Bureau of Justice Statistics, Department of Justice.
>
> ACTION: 60-Day Notice.
>
> ---------------------------------------------------------------------->
> SUMMARY: The Department of Justice (DOJ), Office of Justice Programs,
> Bureau of Justice Statistics, will be submitting the following
> information collection request to the Office of Management and Budget
> (OMB) for review and approval in accordance with the Paperwork
> Reduction Act of 1995.
>
> DATES: Comments are encouraged and will be accepted for 60 days until
> April 27, 2018.
>

> FOR FURTHER INFORMATION CONTACT: If you have additional comments
> especially on the estimated public burden or associated response time,
> suggestions, or need a copy of the proposed information collection
> instrument with instructions or additional information, please contact
> Ramona Rantala, Statistician, Bureau of Justice Statistics, 810 Seventh
> Street NW, Washington, DC 20531 (email: [email protected];
> telephone: 202-307-6170 <(202)%20307-6170>).
>
> SUPPLEMENTARY INFORMATION: Written comments and suggestions from the
> public and affected agencies concerning the proposed collection of
> information are encouraged. Your comments should address one or more of
> the following four points:
>
> --Evaluate whether the proposed collection of information is necessary
> for the proper performance of the functions of the Bureau of Justice
> Statistics, including whether the information will have practical
> utility;
> --Evaluate the accuracy of the agency's estimate of the burden of the
> proposed collection of information, including the validity of the
> methodology and assumptions used;
> --Evaluate whether and if so how the quality, utility, and clarity of
> the information to be collected can be enhanced; and
> --Minimize the burden of the collection of information on those who are
> to respond, including through the use of appropriate automated,
> electronic, mechanical, or other technological collection techniques or
> other forms of information technology, e.g., permitting electronic
> submission of responses.
>
> Overview of This Information Collection
>
> 1. Type of Information Collection: Extension with change of a
> currently approved collection.
> 2. The Title of the Form/Collection: Survey of Sexual Victimization
> [formerly the Survey of Sexual Violence].
> 3. The agency form number, if any, and the applicable component of
>t
----- Message truncated -----

Attachment 4
Comment 6

Attachment 4
Comment 7
Rantala, Ramona (OJP)
From:
Sent:
To:
Subject:

Effman, Jason D (DOCCS)
Monday, May 21, 2018 12:16 PM
Rantala, Ramona (OJP)
RE: DOJ, BJS OMB Number 1121-0292 SSV Public Comment

Comment 7
Ramona,
It recently occurred to me (too late to include in our formal comments) that the SSV-IA does not
include any data on pregnancy resulting from staff-on-inmate sexual abuse. I note that 115.83 (d)
requires that prisons and jails offer pregnancy tests to inmate victims of sexually abusive vaginal
penetration. Thus, I suggest that pregnancy testing should be included in question 15 on the SSVIA.
It might also be helpful to know if pregnancy resulted from the incident. Perhaps this could be
considered a class of injury for reporting under question 13.
I hope that these recommendations are able to be considered with the pending revisions to the SSV.
Thank you,
Jason

Jason D. Effman
Associate Commissioner and PREA Coordinator
NYS Department of Corrections and Community Supervision
The Harriman State Campus, 1220 Washington Avenue, Albany, NY 12226-2050
518-457-3955 | [email protected]
www.doccs.ny.gov

Attachment 5
Confidentiality Laws

Attachment 5

§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
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;

Attachment 5
(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
(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;

Attachment 5
(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.

Attachment 6
Sample Designs

Attachment 6
Page 1Pvt
of 7Prisons

Privately-operated State and Federal Prison Sample Design for the 2016
Survey of Sexual Victimization
530 units on the frame
Date:

May 9, 2017

The updated 2012 Prison Census file serves as the frame for this sample. There are 530 privatelyoperated state and federal prisons on the file.
Some facilities are large compared to the rest, so we used a certainty cutoff to select some of the
facilities as certainties due to size. In previous years, the Bureau of Justice Statistics (BJS) specified the
certainty size cutoff. This year, we used the largest value possible for the certainty size cutoff. A facility
was declared a certainty due to size if it had an average daily population (ADP) of 628 or more. There
are 78 size certainties in the 2016 sample. BJS requested a sample size of 155 facilities for the 2016
sample.
The rest of the file was serpentine-sorted by region, state, and ADP. Region is the region of the country
where the facility is located: Northeast, Midwest, South, or West.
We used PROC SURVEYSELECT in SAS to select a systematic probability proportional to size sample.
Each noncertainty privately-operated state or federal prison in sample has a weight based on its
measure of size. The weights are shown in Table 1.
We verify the sample weights by using Horvitz-Thompson estimation. We use the sample to estimate
the national ADP. The estimated national ADP is 𝑌𝑌�𝐻𝐻𝐻𝐻 = ∑155
𝑖𝑖=1 [(𝑦𝑦𝑖𝑖 )(𝑤𝑤𝑤𝑤𝑤𝑤𝑤𝑤ℎ𝑡𝑡𝑖𝑖 )] where yi is the ADP of the
ith sample unit. The national ADP is 173,008.5 1.
Table 2 shows the estimated coefficients of variation (CVs) for this sample design. We note that 52
facilities were missing data for confined males, while 57 facilities were missing data for confined
females.

Table 1. Sample design table for privately-operated state and federal prisons
Obs ID

Measure of size

Weight

Measure of size * weight

1 150000000073700000000

3,168

1.0000

3168.00

2 150000000070700000000

859

1.0000

859.00

3 368000000077500000000

1,059

1.0000

1059.00

4 368000000074200000000

1,756

1.0000

1756.00

5 360000000073400000000

2,627

1.0000

2627.00

6 398035666076500000000

1,785

1.0000

1785.00

1 One facility was missing data for ADP. We assigned it the value of 1 so that it would have a chance at being
selected for the sample.

Attachment 6
Page 2 Pvt
of 7 Prisons
Obs ID

Measure of size

Weight

Measure of size * weight

7 318000000074200000000

643

1.0000

643.00

8 108000000079881000000

883

1.0000

883.00

9 108000000079997000000

975

1.0000

975.00

10 108000000079996000000

980

1.0000

980.00

11 108000000079992000000

1,532

1.0000

1532.00

12 108000000079999500000

1,863

1.0000

1863.00

13 108000000079999100000

1,900

1.0000

1900.00

14 108000000079999600000

1,990

1.0000

1990.00

15 118000000075800000000

2,640

1.0000

2640.00

16 118000000075700000000

2,622

1.0000

2622.00

17 118000000076000000000

2,378

1.0000

2378.00

18 118134666079981000000

1,949

1.0000

1949.00

19 118000000077000000000

1,470

1.0000

1470.00

20 118000000078000000000

1,144

1.0000

1144.00

21 198000000072300000000

1,563

1.0000

1563.00

22 198000000071400000000

1,147

1.0000

1146.50

23 198000000070000066661

818

1.0000

818.00

24 258001666071000000000

2,414

1.0000

2414.00

25 258000000073700000000

1,137

1.0000

1137.00

26 258000000073100000000

996

1.0000

996.00

27 258000000074100000000

948

1.0000

948.00

28 258000000073600000000

863

1.0000

863.00

29 348046666079111100000

1,328

1.0000

1328.00

30 378000000076100000000

2,538

1.0000

2538.00

31 378000000074800000000

1,663

1.0000

1663.00

32 378000000074900000000

1,645

1.0000

1645.00

33 378000000070000066661

957

1.0000

957.00

Attachment 6
Pvt Prisons

Page 3 of 7

Obs ID

Measure of size

Weight

Measure of size * weight

34 438000000073700000000

1,507

1.0000

1507.00

35 438000000072300000000

1,649

1.0000

1649.00

36 438000000073500000000

1,976

1.0000

1976.00

37 438000000070000066661

2,552

1.0000

2552.00

38 448000000070000066661

8,473

1.0000

8473.00

39 448114666070200000000

3,438

1.0000

3438.00

40 448195666070100000000

2,297

1.0000

2297.00

41 448000000079800500000

1,961

1.0000

1961.00

42 448085666075110000000

1,812

1.0000

1812.00

43 448000000070000066666

1,540

1.0000

1540.00

44 448048666070100000000

1,375

1.0000

1375.00

45 448000000078020000000

1,242

1.0000

1242.00

46 448000000079999000000

1,069

1.0000

1069.00

47 448000000073900000000

1,034

1.0000

1034.00

48 448000000079997000000

1,027

1.0000

1027.00

49 448000000079200000000

998

1.0000

998.00

50 448000000079996000000

976

1.0000

976.00

51 448000000070000066663

950

1.0000

950.00

52 448000000070000066664

917

1.0000

917.00

53 448000000078041000000

773

1.0000

773.00

54 478000000078500000000

1,561

1.0000

1561.00

55 328000000071300000000

746

1.0000

746.00

56 328000000071600000000

1,238

1.0000

1238.00

57 298000000070000066666

769

1.0000

769.00

58 278000000070991000000

681

1.0000

681.00

59 038000000076100000000

1,353

1.0000

1353.00

60 068000000073100000000

1,443

1.0000

1443.00

Attachment 6
Pvt Prisons

Page 4 of 7

Obs ID

Measure of size

Weight

Measure of size * weight

61 068000000072200000000

1,382

1.0000

1382.00

62 068000000073200000000

836

1.0000

836.00

63 058000000070000066663

628

1.0000

628.00

64 058000000070000066662

629

1.0000

629.00

65 058000000079992300000

670

1.0000

670.00

66 058000000070000066664

706

1.0000

706.00

67 038000000075000000000

1,200

1.0000

1200.00

68 058015666070200000000

1,773

1.0000

1773.00

69 New

2,304

1.0000

2304.00

70 258000000071000000000

2,496

1.0000

2496.00

71 378000000079000000000

2,500

1.0000

2500.00

72 038000000074900000000

2,799

1.0000

2799.00

73 038000000070000066666

3,020

1.0000

3020.00

74 038000000076000000000

2,000

1.0000

2000.00

75 New

1,824

1.0000

1824.00

76 038000000076800001401

1,475

1.0000

1475.00

77 038000000076800000000

1,270

1.0000

1270.00

78 038000000074700000000

677

1.0000

677.00

79 018002666075000000000

76

8.0695

613.29

80 028000000071900000000

179

3.4262

613.29

81 038000000070000066661

377

1.6268

613.29

82 038000000072800000000

479

1.2803

613.29

83 058000000070000066665

321

1.9105

613.29

84 058019666071700000000

61

10.0539

613.29

85 068000000073600000000

46

13.3323

613.29

86 068000000076000000000

79

7.7631

613.29

87 068000000076500000000

211

2.9066

613.29

Attachment 6
Pvt Prisons

Page 5 of 7

Obs ID

Measure of size

Weight

Measure of size * weight

88 078000000073300000000

62

9.8917

613.29

89 078000000073700000000

22

27.8766

613.29

90 098000000070000066666

567

1.0816

613.29

91 108000000075820000000

99

6.1948

613.29

92 108000000075830000000

146

4.2006

613.29

93 108000000079922200000

200

3.0664

613.29

94 118000000070000066666

466

1.3161

613.29

95 128000000071200000000

27

22.7143

613.29

96 148016666077300000000

267

2.2970

613.29

97 158000000074100000000

202

3.0361

613.29

98 178052666072200000000

85

7.2151

613.29

99 188000000072700000000

59

10.3947

613.29

100 188000000073200000000

230

2.6665

613.29

101 190000000073700000000

533

1.1506

613.29

102 198000000071500000000

142

4.3189

613.29

103 198000000073300000000

238

2.5768

613.29

104 198030002061000000000

587

1.0448

613.29

105 238000000070000066666

271

2.2630

613.29

106 268096666075900000000

175

3.5045

613.29

107 278000000073700000000

210

2.9204

613.29

108 278000000074000000000

65

9.4352

613.29

109 318000000070000066661

566

1.0835

613.29

110 318000000075300000000

300

2.0443

613.29

111 318000000075400000000

363

1.6895

613.29

112 318000000075700000000

498

1.2315

613.29

113 318000000076200000000

48

12.7768

613.29

114 328000000071500000000

590

1.0395

613.29

Attachment 6
Pvt Prisons

Page 6 of 7

Obs ID

Measure of size

Weight

Measure of size * weight

115 328000000071700000000

572

1.0722

613.29

116 348032666070988000000

16

38.3304

613.29

117 368000000075410000000

190

3.2278

613.29

118 368000000076100000000

107

5.7316

613.29

119 368000000077000000000

35

17.5224

613.29

120 378000000075500000000

327

1.8755

613.29

121 378000000075700000000

135

4.5429

613.29

122 398000000076100000000

305

2.0108

613.29

123 398000000078100000000

80

7.6661

613.29

124 398022666077500000000

35

17.5224

613.29

125 438047666074200000000

56

10.9515

613.29

126 448000000070000066662

510

1.2025

613.29

127 448000000070000066665

444

1.3813

613.29

128 448000000070000066668

325

1.8870

613.29

129 448000000070000066669

489

1.2542

613.29

130 448000000073700000000

517

1.1862

613.29

131 448000000078031000000

174

3.5246

613.29

132 448000000078040000000

209

2.9344

613.29

133 448000000078043000000

485

1.2645

613.29

134 448000000078052000000

129

4.7542

613.29

135 448000000078081000000

220

2.7877

613.29

136 448000000078091000000

436

1.4066

613.29

137 448000000078092000000

266

2.3056

613.29

138 448000000079930000000

499

1.2290

613.29

139 448000000079940000000

505

1.2144

613.29

140 448000000079996700000

519

1.1817

613.29

141 448223666071500000000

73

8.4012

613.29

Attachment 6
Pvt Prisons

Page 7 of 7

Obs ID

Measure of size

Weight

Measure of size * weight

142 488017666070100000000

48

12.7768

613.29

143 508054666075000000000

100

6.1329

613.29

144 518000000071000000000

270

2.2714

613.29

145 Needs ID if selected

602

1.0187

613.29

146 New

222

2.7625

613.29

147 New

240

2.5554

613.29

148 New

400

1.5332

613.29

149 New

600

1.0221

613.29

150 New

258

2.3771

613.29

151 New

174

3.5246

613.29

152 New

32

19.1652

613.29

153 new

35

17.5224

613.29

154 new

107

5.7316

613.29

155 new

50

12.2657

613.29
173,008.50

Table 2. Estimated CVs for this sample design
Estimate

Estimated variance

Total

CV

Confined females

1,110,941.13

9,763

10.8%

Confined males

2,266,415.89

149,991

1.0%

Attachment 6
Page 1Public
of 2 Jails

Public Jails Sample Design for the 2016 Survey of Sexual Victimization
2,884 public jails on the 2016 Deaths in Custody file
Date: May 5, 2017
The Bureau of Justice Statistics (BJS) requested a sample size of 700, with the largest public jail in each
state 1 selected with certainty to meet the requirements of the Prison Rape Elimination Act of 2003. The
measure of size is the average daily population (ADP).
We used an extract of the 2016 Deaths in Custody file as the frame.
We chose 108 units as certainties due to size (ADP of 1,000 or more). The remaining 546 units were
selected using a stratified systematic random sample. There are three noncertainty strata for those
units with less than 1,000 ADP.
We used the cumulative � �𝑓𝑓(𝑦𝑦)� method (Cochran, Sampling Techniques, 1977 edition, p. 129) to
determine the noncertainty stratum boundaries. Table 1 shows the strata.

We used ADP to stratify the sample, with the allocation to strata based on the number of confined
persons on December 31, 2016. We calculated an optimal allocation to the strata for the number of
confined persons.
The noncertainty strata were serpentine-sorted by region, two digit state code, and ADP. Region is the
region of the country where the jurisdiction is located: Northeast, Midwest, South, or West.
Table 1 shows the weights for this sample design. Table 2 shows the estimated coefficients of variation
of this sample design.

Table 1. Public Jails Sample Design
Stratum
number

Description

Units in 2016 Deaths in
Custody file

Units in
sample

Sample
weight

1

Largest jail in each state

46

46

1.0000

2

Certainties due to size (1,000+ ADP)

108

108

1.0000

3

Jails with 0 to 90 ADP

1,496

191

7.4084

4

Jails with 91 to 271 ADP

794

123

6.9512

5

Jails with 272 to 999 ADP

440

232

1.9828

700

There are public jails in 45 states and the District of Columbia. There are five states with no public jails:
Connecticut, Delaware, Hawaii, Rhode Island, and Vermont.

1

Attachment 6
Public Jails

Page 2 of 2

Table 2. Estimated Coefficients of Variation for the Public Jails Sample Design
Estimate

Coefficient of variation

Confined males

1.0%

Confined females

1.7%

Newly admitted males

5.4%

Newly admitted females

4.1%

New admissions

4.9%

Male ADP

0.8%

Female ADP

1.4%

Attachment 6
Jails
Page 1Private
of 2

Private Jails Sample Design for the 2016 Survey of Sexual Victimization
39 private jails on the 2016 Deaths in Custody file
Date:

May 4, 2017

There are 39 private jails on the 2016 Deaths in Custody file extract. The Bureau of Justice Statistics
(BJS) requested a sample of 15 of the private jails, with the units selected with probability proportional
to size. The measure of size is the average daily population (ADP) from the 2016 Deaths in Custody file
extract.
We selected private jails with certainty if they had 900 or more ADP. There were 7 certainties due to
size. We selected the remaining 8 units in sample with probability proportional to size after serpentine
sorting the file by region, two digit state code, and ADP. Region is the region of the country where the
jurisdiction is located: Northeast, Midwest, South, or West.
Table 1 shows the weights.
The 39 private jails on the frame have a total ADP of 19,388. We verify the sample weights by using
Horvitz-Thompson estimation. We use the sample to estimate the total ADP. The estimated total is
th
𝑌𝑌�𝐻𝐻𝐻𝐻 = ∑15
𝑖𝑖=1[(𝑦𝑦𝑖𝑖 )(𝑤𝑤𝑤𝑤𝑤𝑤𝑤𝑤ℎ𝑡𝑡𝑖𝑖 )] where yi is the ADP of the i unit in the sample.

Table 2 shows the estimated coefficients of variation for this sample design. 5 of the private jails were
missing data for confined females, confined males, female ADP, male ADP, newly admitted females, and
newly admitted males.

Attachment 6
Jails
Page 2Private
of 2

Table 1. Private Jails sample design table
ID

Region

Measure of size

Sampling Weight

Measure of size *
Sampling Weight

368015015061000000000

Midwest

134

10.8554

1,454.63

398002002065000000000

Northeast

565

2.5746

1,454.63

441074074061000000000

South

420

3.4634

1,454.63

448024024061000000000

South

574

2.5342

1,454.63

441126126061000000000

South

722

2.0147

1,454.63

191033032062000000000

South

887

1.6399

1,454.63

191042040061000000000

South

540

2.6938

1,454.63

108009009062000000000

South

593

2.4530

1,454.63

158049008061000000000

Midwest

1,023

1.0000

1,023.00

191025024061000000000

South

900

1.0000

900.00

198037901061000000000

South

930

1.0000

930.00

398023023063000000000

Northeast

1,855

1.0000

1,855.00

438019003068000000000

South

909

1.0000

909.00

438033033060100000000

South

911

1.0000

911.00

448233233061000000000

South

1,223

1.0000

1,223.00
19,388.00

Table 2. Estimated coefficients of variation for this sample design
Estimate

Estimated variance

2016 total

CV

Confined females

1,301,548.85

21,392

5.3%

Confined males

1,679,652.45

131,728

1.0%

Confined persons

1,591,404.30

153,120

0.8%

Female ADP

1,007,098.75

21,400

4.7%

Male ADP

1,422,788.02

132,448

0.9%

535,745,358.68

236,536

9.8%

Newly admitted males

10,758,915,288.02

1,153,040

9.0%

New admissions

15,307,144,662.24

1,389,576

8.9%

Newly admitted females

Attachment 6
IndianC Jails

Page 1 of 3

Tribal Sample Design for the 2016 Survey of Sexual Victimization
60 units on the extract from the 2016 Jails in Indian Country file
Date:

May 9, 2017

The Bureau of Justice Statistics (BJS) requested a sample of 25 units from the 60 units listed on the 2016
Jails in Indian Country extract. To be eligible for this sample, units hold only adults or adults and
juveniles. We added the jails that hold only juveniles to the juvenile sample for the 2016 Survey of
Sexual Victimization (SSV).
We selected the sample using probability proportional to size, with the adjusted average daily
population (ADP) as the measure of size. The adjusted ADP was the maximum of (1, estimated ADP).
Seven units were relatively large compared to the rest of the units in the frame, so we selected them as
certainty units based on size. The size cutoff for certainty units was ADP of 78 or more.
The rest of the file was serpentine-sorted by two-digit state code and ADP.
The 25 tribal facilities selected for the sample have weights based on their measure of size. Table 1
shows the weights.
The 60 tribal facilities on the frame have a total ADP of 2,301. We verify the sample weights by using
Horvitz-Thompson estimation. We use the sample to estimate the total ADP. The estimated total is
th
𝑌𝑌�𝐻𝐻𝐻𝐻 = ∑25
𝑖𝑖=1[(𝑦𝑦𝑖𝑖 )(𝑆𝑆𝑆𝑆𝑆𝑆𝑆𝑆𝑆𝑆𝑆𝑆𝑆𝑆𝑆𝑆𝑆𝑆𝑆𝑆𝑆𝑆𝑆𝑆ℎ𝑡𝑡𝑖𝑖 )] where yi is the ADP of the i unit in the sample.
Table 2 shows the estimated coefficients of variation for this sample design.

Table 1. Tribal Sample for 2016 SSV

ID

Facility

037007001070100000000 Salt River Pima-Maricopa Department of
Corrections

Adjusted
measure
Adjusted
of size *
measure Sampling Sampling
of size
Weight
Weight
68

1.1324

77

037008001070100000000 Fort Mohave Tribal Police Department and
Holding Facility

3

25.6667

77

037011002071600000000 Gila River Department of Rehabilitation and
Supervision, Adult

62

1.2419

77

037015001070100000000 Colorado River Indian Tribes Adult Detention
Center

34

2.2647

77

137003001070100000000 Shoshone Bannock Tribal Corrections

56

1.3750

77

247004001070900000000 Red Lake Tribal Justice Center Adult Detention

41

1.8780

77

Attachment 6
IndianC Jails
Page 2 of 3

ID

Facility

Adjusted
measure
Adjusted
of size *
measure Sampling Sampling
of size
Weight
Weight

277043001070100000000 Fort Peck Police Department and Adult Detention
Center

77

1.0000

77

277044001070100000000 Northern Cheyenne Adult Detention Center

45

1.7111

77

287011001070100000000 Omaha Tribal Police Department and Adult
Detention

41

1.8780

77

327017001070100000000 Zuni Adult Detention Center

58

1.3276

77

327021001070600000000 Jicarilla Department of Corrections, Adult and
Juvenile

37

2.0811

77

327033001070100000000 Acoma Tribal Police and Holding Facility

16

4.8125

77

357040001070400000000 Turtle Mountain Law Enforcement Adult
Detention

46

1.6739

77

357043001070100000000 Standing Rock Law Enforcement and Adult
Detention Center

63

1.2222

77

387016001071900000000 Warm Springs Police Department and Adult
Detention Center

38

2.0263

77

427043001070100000000 Lower Brule Justice Center, Adult Detention

47

1.6383

77

487014002070100000000 Quinault Nation Police Department and Holding
Facility

13

5.9231

77

517007003070100000000 Wind River Adult Detention Center

33

2.3333

77

037001001072000000000 Navajo Department of Corrections, Window Rock

78

1.0000

78

037004001070100000000 San Carlos Department of Corrections and
Rehabilitation, Adult

109

1.0000

109

037010001071500000000 Tohono O’odham Adult Detention Center

149

1.0000

149

037009001070100000000 White Mountain Apache Detention Center

106

1.0000

106

427004001070400000000 Oglala Sioux Tribal Offenders Facility

115

1.0000

115

78

1.0000

78

280

1.0000

280

427061001070300000000 Rosebud Sioux Tribal Police Department and Adult
Detention
487034001070100000000 Nisqually Adult Corrections

2,301

Attachment 6
Jails
Page 3IndianC
of 3

Table 2. Estimated coefficients of variation for this sample design
Estimate

Estimated variance

2016 total

CV

9,999.20

604

16.6%

1.84

3

45.2%

36,465.02

1,698

11.2%

8.78

8

37.0%

77,066.27

2,302

12.1%

15.48

11

35.8%

Female adults
Female juveniles
Male adults
Male juveniles
Total adults
Total juveniles

We note that the coefficients of variation for the female juveniles and male juveniles are volatile over
time. The higher CVs in some years are driven by facilities that have only one juvenile and a very small
estimated ADP.
We use the Rao-Hartley formula to estimate the variance for this sample design. The variance is given
by
𝑁𝑁

𝑉𝑉�𝑌𝑌�� ≈ � 𝜋𝜋𝑖𝑖 �1 −
𝑖𝑖=1

(𝑛𝑛 − 1)
𝑦𝑦𝑖𝑖 𝑌𝑌 2
𝜋𝜋𝑖𝑖 � � − � .
𝜋𝜋𝑖𝑖 𝑛𝑛
𝑛𝑛

The third term in the formula gets large quickly when the y for the unit is small (say one female juvenile
or one male juvenile) and the probability of selection 𝜋𝜋 is also small (which happens when the facility
has ADP of 1).

Attachment 6
Juve
Page 1 PubPvt
of 5

Juvenile Facility Sample Design for the
2016 Survey of Sexual Victimization
2,181 open non-tribal facilities on the 2015 Census of Juveniles in Residential Placement file
Date:

April 10, 2017

For the 2016 Survey of Sexual Victimization (SSV) juvenile facility sample, the Bureau of Justice Statistics
(BJS) requested a sample design similar to that used for the 2015 juvenile facility sample. Note that we
select tribal juvenile facilities from the Jails in Indian Country file, not the 2015 Census of Juveniles in
Residential Placement (CJRP) file. Facilities that hold zero juvenile offenders on reference day are not
eligible for the 2016 SSV sample.
To understand this year’s design, we need to look at how we categorize the facilities. The 2015 CJRP
serves as the frame for the 2016 SSV.

Table 1. 2016 SSV juvenile facility sampling frame
2,181
342
11
1,828

open non-tribal facilities in the 50 states and DC in the 2015 CJRP file
non-tribal facilities in the 50 states and DC that held zero juvenile offenders on reference day
facilities in sample for the 2015 SSV that were determined to be closed or out-of-scope 1
non-tribal facilities in the 50 states and DC in the 2015 CJRP file that held at least one juvenile
offender on reference day

The initial certainty requirements asked that all state central reporters and facilities that report
separately be included in the sample with certainty. We are treating all facilities in DC as state-operated
for the purposes of SSV. Each state gets a form that asks that they report for all-state operated facilities.
The rest of the sample comes from the remainder of the sampling frame, to produce a sample of 530
non-state units.
Of the 530 non-state units in sample, 36 units are in sample with certainty as the largest locallyoperated facility in the state, and 48 are in with certainty as the largest privately-operated facility in the
state. We select 446 noncertainty units to fill out the sample.

There were 19 juvenile facilities listed in the 2015 closeout documentation. 10 of those facilities matched to
open facilities in the 2016 CJRP file and were excluded from the frame for 2016. One facility listed in the closeout
document was in the 2015 CJRP file as open under a different id and was also excluded from the frame for 2016.
The 2015 SSV had a record for the Arkansas Division of Youth Services, but there is no such record in the 2015 CJRP
file. Two facilities listed in the closeout document were reported on state forms in the 2015 closeout document,
and listed in the 2015 CJRP file as state-operated facilities. The remaining five facilities listed in the 2015 closeout
document were marked as closed or out-of-scope in the 2015 CJRP file.
1

Attachment 6
PubPvt Juve

Page 2 of 5

Table 2. Certainty and noncertainty counts on the 2016 frame
369
36
555
48
820
1,828

state central reporters and facilities that report separately
local facility certainties (largest in the state)
local noncertainty facilities
private facility certainties (largest in the state)
private noncertainty facilities
Non-tribal facilities in the 50 states and DC in the 2015 CJRP file that held at least one juvenile
offender on reference day

By law, we need a 10-percent sample of the non-state detention centers, locally-operated facilities, and
privately-operated facilities. By allocating the 446 sample units proportionally across strata, we meet or
exceed the 10-percent requirement. The measure of size for this sample is the number of persons
assigned to beds.

Table 3. Facility and person counts for the noncertainty strata
Stratum
Midwest detention facilities
Northeast detention facilities
South detention facilities
West detention facilities
Local non-commitment facilities
Local commitment facilities
Private facilities

Facility count

151
54
142
117
24
137
750

Persons assigned to beds
3,524
852
3,558
4,445
253
3,864
15,617
32,113

Table 4. Proportionally allocating the sample across noncertainty strata
Stratum
Midwest detention facilities
Northeast detention facilities
South detention facilities
West detention facilities
Local non-commitment facilities
Local commitment facilities
Private facilities

Proposed sample size
49
12
49
62
4
54
216
446

Forty-nine non-state detention centers are too large compared to the rest of the facilities in their strata,
so we declare them certainties due to size and reassign them to stratum 40E in the sample design table,
Table 5. There are eighteen locally-operated facilities that are too large compared to the rest of the
facilities in their strata, so we declare them certainties due to size and reassign them to stratum 53.
Forty-seven private facilities are too large compared to the rest of the facilities in their stratum, so we
declare them certainties due to size and reassign them to stratum 63.

Attachment 6
Juve
Page 3PubPvt
of 5
Once the state-central reporters and facilities that report separately (stratum 10), largest locallyoperated facility in each state (stratum 20), detention facilities that are certainties due to size (stratum
40E), largest privately-operated facility in each state (stratum 30), the local facility certainties due to size
(stratum 53), and the private facility certainties due to size (stratum 63) were determined, those records
were removed prior to the sample selection. The remaining 1,261 facilities were serpentine-sorted by
region, two-digit state code, collapsed facility type, and persons assigned to beds within each stratum.
We used PROC SURVEYSELECT in SAS to select a systematic probability proportional to size sample.

Table 5. Juvenile facilities sample design table
Stratum Number
10
15
20
30
40A
40B
40C
40D
40E
51
52
53
60
63

Description
State central reporters and facilities that report separately
Tribal juvenile facilities from the Jails in Indian Country file
Largest locally-operated facility in each state
Largest privately-operated facility in each state
Midwest detention centers
Northeast detention centers
South detention centers
West detention centers
Detention facility certainties due to size
Local non-commitment
Local commitment
Local facility certainties due to size
Private facilities
Private facility certainties due to size

N

369
19

36
48
144
53
133
85
49
24
119
18
703
47

n

369
19

36
48
42
11
40
30
49
4
36
18
169
47

Calculating the coefficients of variation for this sample 2
We use the Rao-Hartley formula to estimate the variance of this sample design. The variance is given by
𝑁𝑁

𝑉𝑉�𝑌𝑌�� ≈ � 𝜋𝜋𝑖𝑖 �1 −
1

(𝑛𝑛 − 1)
𝑦𝑦𝑖𝑖 𝑌𝑌 2
𝜋𝜋𝑖𝑖 � � – �
𝜋𝜋𝑖𝑖 𝑛𝑛
𝑛𝑛

where πi is the probability that the ith unit is selected for the sample. For more details, see equation 5.17
in Harley and Rao (1962).

The calculations for the coefficients of variation do not include the XX tribal facilities from the Jails in Indian
Country (JIC) file because comparable data on juvenile offenders and juvenile non-offenders were not available on
the JIC file.

2

Attachment 6
Juve
Page 4PubPvt
of 5

Table 6. Estimated coefficients of variation for this sample design
Level of estimate
National
National
Non-state detention facilities
Non-state detention facilities

Estimate
Juvenile offenders
Juvenile non-offenders
Juvenile offenders
Juvenile non-offenders

Estimated variance
58,639.32
55,718.53
5,363.72
1,925.85

2015 total
47,884
6,805
14,854
277

CV
0.5%
3.5%
0.5%
15.8%

Verification of the sample produced by the Public Sector Statistical
Methods Branch
The Public Sector Statistical Methods Branch of the Economic Statistical Methods Division selected the
locally-operated and privately-operated facility records for this sample. The Criminal Justice Branch of
the Economic Reimbursable Surveys Division prepared the mailout records for the state-operated units
in stratum 10, and the 19 tribal juvenile facilities from the Jails in Indian Country file in stratum 15.
The file produced by the Public Sector Statistical Methods Branch has 530 records. We can verify the
sample selection by estimating the total number of persons assigned to beds for locally-operated and
privately-operated facilities. There are 39,382 persons assigned to beds in locally-operated and
privately-operated facilities in the 2015 CJRP that are in-scope for the 2016 SSV.
We use the Horvitz-Thompson estimator to estimate the total number of persons assigned to beds.
530

𝑌𝑌�𝐻𝐻𝐻𝐻 = � 𝑦𝑦𝑖𝑖 (𝑤𝑤𝑤𝑤𝑤𝑤𝑤𝑤ℎ𝑡𝑡𝑖𝑖 )
𝑖𝑖=1

where yi is the total number of persons assigned to beds for the ith facility, and weighti is the weight
assigned to the ith facility in the file produced by the Public Sector Statistical Methods Branch.

Attachment 6
Juve
Page 5 PubPvt
of 5

Table 7. Estimated total number of persons assigned to beds in the locally-operated and
privately-operated facilities in the juvenile sample
Stratum number

Facilities in sample

Estimated total

20

36

2,998.00

30

48

4,271.00

40A

42

2,963.00

40B

11

757.00

40C

40

2,675.00

40D

30

1,360.00

40E

49

4,624.00

51

4

253.00

52

36

2,421.00

53

18

1,443.00

60

169

11,193.00

63

47

4,424.00

530

39,382.00

References
“Sampling with Unequal Probabilities and without Replacement”
Hartley, H.O. and Rao, J.N.K.
The Annals of Mathematical Statistics, Vol. 33, No. 2. (Jun., 1962), pp. 350 – 374.

Attachment 7
Cover Letters

[ full packet cover letter, see paragraph 3 ]

August 27, 2018
«CONTACT», «TITLE»
«AGENCYNAME»
«ADDRESS1»
«CITY», «STATE_ABBR» «ZIP»
Dear «SALUTATION»:
I am writing to request your assistance in completing the Survey of Sexual Victimization, which was
developed in response to the Prison Rape Elimination Act of 2003 (PREA; P.L. 108-79). The Bureau of
Justice Statistics (BJS) is tasked with annual data collection responsibilities under PREA. The Act requires
BJS to “carry out, for each calendar year, a comprehensive statistical review and analysis of the incidence
and effects of prison rape.” To do this, BJS collects information on the characteristics of these incidents to
aid correctional administrators in addressing the prevention, reporting, investigation, and prosecution of
such incidents.
In 2004, BJS launched the Survey of Sexual Violence (SSV), collecting administrative data from
correctional authorities. In 2013, BJS renamed the survey to the Survey of Sexual Victimization to better
reflect the array of incidents covered under PREA. In July 2018, BJS released Sexual Victimization
Reported by Adult Correctional Authorities, 2012-15.
We are now conducting the 2017 SSV, as mandated by PREA. Please take the time to complete the survey.
You may complete it electronically (via the Web or fillable PDF) or by paper (see the enclosed forms).
To complete the survey online, go to http://harvester.census.gov/ssv. Your UserID is «USERID» and
«PASSWORD» is your password. Your UserID and password also appear on the enclosed summary form,
to the left of the address label.
To download blank forms in fillable portable document format from the BJS website, go
to www.bjs.gov/content/pub/pdf/ssv3_2017.pdf for the summary form
and www.bjs.gov/content/pub/pdf/ssvia_2017.pdf for the substantiated incident form.
The U.S. Census Bureau is the data collection agent for the 2017 SSV. Please submit your completed forms
online or to the Census Bureau by October 15, 2018.

BJS is authorized to conduct this data collection under 34 U.S.C. § 10132(c) and P.L. 108-79. BJS, its
employees, and its data collection agents will use the information you provide for statistical or research
purposes only, and will not disclose your information in identifiable form without your consent to anyone
outside of the BJS project team. All personally identifiable data collected under BJS’s authority are
protected under the confidentiality provisions of 34 U.S.C. § 10231, and any person who violates these
provisions may be punished by 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, go to www.bjs.gov/content/pub/pdf/BJS_Data_Protection_Guidelines.pdf.
If you need assistance regarding your submission, please contact Greta Clark at the Census Bureau at
800-253-2078 or [email protected]. If BJS can be of assistance, please contact Ramona Rantala,
BJS statistician, at 202-307-6170 or [email protected].
Sincerely,

Jeri M. Mulrow
Principal Deputy Director
Enclosures.

[ web cover letter, see paragraph 3 ]

August 27, 2018
«CONTACT», «TITLE»
«AGENCYNAME»
«ADDRESS1»
«CITY», «STATE_ABBR» «ZIP»
Dear «SALUTATION»:
I am writing to request your assistance in completing the Survey of Sexual Victimization, which was
developed in response to the Prison Rape Elimination Act of 2003 (PREA; P.L. 108-79).The Bureau of
Justice Statistics (BJS) is tasked with annual data collection responsibilities under PREA. The Act requires
BJS to “carry out, for each calendar year, a comprehensive statistical review and analysis of the incidence
and effects of prison rape.” To do this, BJS collects information on the characteristics of these incidents to
aid correctional administrators in addressing the prevention, reporting, investigation, and prosecution of
such incidents.
In 2004, BJS launched the Survey of Sexual Violence (SSV), collecting administrative data from
correctional authorities. In 2013, BJS renamed the survey to the Survey of Sexual Victimization to better
reflect the array of incidents covered under PREA. In July 2018, BJS released Sexual Victimization
Reported by Adult Correctional Authorities, 2012-15.
We are now conducting the 2017 SSV, as mandated by PREA. Please take the time to complete the survey.
In the past you have completed the survey electronically, so we are sending you information on how to
access the survey online rather than paper forms.
To complete the survey online, go to http://harvester.census.gov/ssv. Your UserID is «USERID» and
«PASSWORD» is your password.
To download blank forms in fillable portable document format from the BJS website, go
to www.bjs.gov/content/pub/pdf/ssv3_2017.pdf for the summary form
and www.bjs.gov/content/pub/pdf/ssvia_2017.pdf for the substantiated incident form.
The U.S. Census Bureau is the data collection agent for the 2017 SSV. Please submit your completed forms
online or to the Census Bureau by October 15, 2018.

BJS is authorized to conduct this data collection under 34 U.S.C. § 10132(c) and P.L. 108-79. BJS, its
employees, and its data collection agents will use the information you provide for statistical or research
purposes only, and will not disclose your information in identifiable form without your consent to anyone
outside of the BJS project team. All personally identifiable data collected under BJS’s authority are
protected under the confidentiality provisions of 34 U.S.C. § 10231, and any person who violates these
provisions may be punished by 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, go to www.bjs.gov/content/pub/pdf/BJS_Data_Protection_Guidelines.pdf.
If you need assistance regarding your submission, please contact Greta Clark at the Census Bureau at
800-253-2078 or [email protected]. If BJS can be of assistance, please contact Ramona Rantala,
BJS statistician, at 202-307-6170 or [email protected].
Sincerely,

Jeri M. Mulrow
Principal Deputy Director
Enclosures.

Attachment 8
Nonresponse Follow-up

Attachment 8
Phone

Phone Scripts
If the call goes to voicemail:
Hello my name is … [your name]. I’m calling from the U.S. Census Bureau on behalf of
the U.S. Department of Justice, Bureau of Justice Statistics. I’m contacting you about
the 2016 Survey of Sexual Victimization. This survey was mailed to you in July. Our
records show that we have not yet received a response from your facility.
If you need a time extension or another copy of the forms, please call me at … [your
number]. Again, that’s … [number] and my name is … [first name]. If you have
questions about completing the forms, you may call Greta Clark at 1-800-253-2078.
Thank you for your attention to this important survey.

If someone (not the listed respondent) answers the phone:
Hello my name is … [your name]. I’m calling from the U.S. Census Bureau on behalf of the
U.S. Department of Justice, Bureau of Justice Statistics. I’m trying to reach [state the
respondent’s name] about the 2016 Survey of Sexual Victimization. Can you put me through?
If they forward your call to the respondent:
See below pages for phone scripts.
If they cannot forward your call but do not say [the respondent] is no longer there:
When is a good time for me to reach [state the respondent’s name]? (Note the day/time.)
Thank you.
If the respondent is no longer there:
Can you direct me to someone who handles PREA matters, such as the PREA Coordinator?
(Note the new name and phone number, if possible.)
(If no)
Thank you for your time. (Refer to Analyst.)

If the respondent answers the phone:
Hello my name is … [your name]. I’m calling from the U.S. Census Bureau on behalf of
the U.S. Department of Justice, Bureau of Justice Statistics. I’m contacting you about
the 2016 Survey of Sexual Victimization. This survey was mailed to you in May. Our
records show that we have not yet received a response from your facility. Do you need
more time?
(If they ask, tell them their due date) SSV-3 [The due date was October 15, 2018.]
SSV-4 [The due date was October 15, 2018.]
SSV-6 [The due date was October 15, 2018.]
If they say they’re not going to respond:
Thank you for your time. (Refer to an analyst.)

Attachment 8
Phone

If they need a time extension:
Will 2 weeks be enough?
(If yes) Thank you. I have entered a 2 week extension for you. Your due date is [new due
date]. In the meantime, if you have questions about the survey, please call Greta Clark
at 1-800-253-2078. Thank you.
(If they need more than 3 weeks) The maximum amount of time I can give you is X weeks.
Your new due date is [new due date]. Please do what you can in that time. If you find you
need additional time or have questions about the survey, please call Greta Clark at
1-800-253-2078. Thank you.
If they say they’ve already submitted their forms:
Thank you. Can you tell me when you submitted your forms? (Note the date, then ask)
Did you submit them by fax, web, or mail? (Note the method, then ask)
Did you keep a copy for your records?
(If they have a copy, ask) Can you fax a copy to me today? Fax number is 1-888-262-3974.
(If they do not have a copy, say)
I will double-check to see if we have your forms, and get back with you if there are
follow-up questions. Thank you.
If they want to submit data by phone:
Yes, I can collect the data now. (Enter their answers in the appropriate fillable PDF.)
If they need another questionnaire:
Sure, I can send one right away. If you would like to use the fillable PDF, you can download
it from the Internet.
If they want fillable PDFs:
Do you have web access right now?
(If yes and Harvester is running)
I can direct you to the fillable PDF’s on Harvester. Go
to http://harvester.census.gov/ssv/. Scroll down to the bottom of the page. You will need the
SSV-[3, 4, or 6]. And, you will need to complete the SSV-[IA, IJ], one for each substantiated
incident that occurred in 2016. Also complete one Substantiated Incident form for each incident
that occurred prior to 2016 but was first reported or substantiated in 2016.
(If yes and Harvester is down)
I can direct you to the fillable PDF’s on the BJS website.
If they do not want fillable PDFs or cannot download the PDFs, ask:
Do you prefer fax or email? (Verify the fax number or email address.)
Thank you, I will send the forms in a few minutes. Do you need a time extension?
For Fax, print the Summary and Incident forms, fill out a Fax Cover Sheet, then Fax.
For email, see pages x and y for directions.

Attachment 8
Phone
If they need their UserID and Password:
(Look up their UserID and temporary Password on the spreadsheet your supervisor provided.)
Your user ID is [UserID] and your temporary password is [password]. After you log in the first
time, you will need to enter your email address and change the password right away. Do you
need the URL? (If yes), the URL is http://harvester.census.gov/ssv.
Would you like me to stay on the line while you log on?
(If yes, stay on the line and assist.)
(If no or after they changed their password, say)
If you have more questions later, please call Greta Clark at 1-800-253-2078. Thank you.
If they ask about the purpose of SSV or other substantive questions:
The 2016 Survey of Sexual Victimization is being collected for the U.S. Department of Justice,
Bureau of Justice Statistics. It asks about allegations of sexual victimization of [inmates
(SSV-3 and 4), youth (SSV-6)] that occurred or were first reported in your facility in calendar
year 2016.
If they have more questions: Let me refer you to the Census Bureau Project Manager,
Greta Clark. Would you like to call her, or shall I ask her to call you?
If they want to make the call:
You can reach her at 1-800-253-2078. Thank you.
If they want Greta to call them:
(Verify their name and number, and ask) When would be a good time for her to reach you?

Attachment 8
Email

E-Mail
E-mail in place of phone contact
• If you are sending an e-mail rather than calling:
Hello! I am emailing you on behalf of the U.S. Department of Justice, Bureau of Justice
Statistics, about the 2016 Survey of Sexual Victimization (SSV). This survey was mailed to
your facility in May and was recently due back to us. Our records show that we have not yet
received the questionnaire from your facility.
If you could, please complete the attached forms or forward them to whomever can best
complete them for your facility. We need you to complete the forms even if your facility had
no allegations of sexual victimization in calendar year 2016. If that is the case, on the
Summary form please enter zero (0) for the number of allegations, and answer the other
questions.
The Substantiated Incident form is for allegations that were determined to have occurred.
Please complete one Substantiated Incident form for each incident that occurred in 2016. Also
complete one Substantiated Incident form for each incident that occurred prior to 2016 but was
first reported or substantiated in 2016.
If you have any questions or need assistance filling the forms out, please contact me.
Thank you for your time,
[Your Name]
[Your Title]
U.S. Census Bureau

Toll-free: 1-800-253-2078
Email: [email protected]
Fax: 1-888-262-3974
Website: http://harvester.census.gov/ssv

Email follow-up to a request for forms
• If a respondent would like a fillable form emailed to them, use this wording:
Hello! It was a pleasure speaking with you.
Here are the forms you requested. Please complete them as soon as possible.
As I may have mentioned on the phone, we need you to complete the forms even if your
facility had no allegations of sexual victimization for calendar year 2016. If that is the case, on
the Summary form please enter zero (0) for the number of allegations, and answer the other
questions.
The Substantiated Incident form is for allegations that were determined to have occurred.
Please complete one Substantiated Incident form for each incident that occurred in 2016. Also
complete one Substantiated Incident form for each incident that occurred prior to 2016 but was
first reported or substantiated in 2016.
If you have any questions or need assistance filling the forms out, please contact me.
Thank you for your time,
[Your Name]
[Your Title]
U.S. Census Bureau

Toll-free: 1-800-253-2078
Email: [email protected]
Fax: 1-888-262-3974
Website: http://harvester.census.gov/ssv

Attachment 9
Record-Keeping Interview Protocol

Facility/ST: N /
Type:
AJ SLP
Isextrans: T I N

Phone/email:

Date/Time:
Contact:
#..

Apr xx
N alt
. @.

:

:

Attachment 9

Record keeping interview protocol
for data elements related to sex and gender identity
on the Survey of Sexual Victimization
This interview is being conducted to better understand the completeness and availability of data provided
by correctional facilities to the Survey of Sexual Victimization (SSV) regarding the sex and gender identity
of {inmate, youth} victims and perpetrators of sexual abuse or harassment.
In 2012, national standards to prevent, detect, and respond to prison rape were issued, including
requirements related to housing intersex and transgender {inmates, youth} and determining whether bias
against them was a factor in incidents of sexual abuse. To better reflect these standards, for SSV 2013
the Bureau of Justice Statistics modified the Substantiated Incident forms {SSV-IA, SSV-IJ} by expanding
the answer categories for the demographic characteristic of sex to include intersex and transgender. This
modification affected four items (7, 10, 19, and 22). Definitions of intersex and transgender were provided
on the forms.
For SSV 2016, the question for these four items was reworded to include gender identity (i.e., from “sex”
to “sex or gender identity”). The answer categories and definitions remained the same as those used for
SSV 2013 to 2015.
This interview will be conducted using five sets of questions. The first set of questions is about the
respondent’s general experience in completing the survey, the types of records systems they have, and the
type of information their records contain. The second set is about the items of interest and the definitions
used by the respondent’s {facility, jurisdiction, system}. 1 The third set is about the information gathering
practices of the respondent’s {facility, jurisdiction, system}. The fourth set covers the record keeping and
retrieval practices of the respondent’s {facility, jurisdiction, system}. The last set concludes the interview and
provides the respondent an opportunity to discuss other issues they may have related to SSV.

I. Overview
Tell me about your experience in completing the Survey of Sexual Victimization (SSV).
What type of records systems are used to keep the information needed to respond to the SSV?
[Probe] Is the information kept in—
a Records Management System (RMS)?
spreadsheets?
electronic copies of individual reports?
other?
hard copies of reports?
What types of information do your records contain?
How easy or difficult is it to access this information?
Do you need to go to multiple sources for information to complete the SSV?
[Probe] For example, do you need to refer to your RMS, other systems, reports, and/or other staff?
Please describe the steps you go through to retrieve the information needed to complete a
Substantiated Incident form {SSV-IA, SSV-IJ}.
[Probe] What level of effort is needed to retrieve the necessary information?
[Probe] For example, can it be automatically extracted or compiled, or does it require manual review
of each incident report?

1

Curly brackets { } indicate a set of answers, one of which is to be selected by the interviewer based on type of facility or the
respondent’s answer to a previous question. Square brackets [ ] indicate probes, other directions, and notes for the interviewer and
are not read aloud. Probes are to be used only if needed.

Attachment 9

II. Items and definitions related to sex and gender identity
Please look at the Substantiated Incident form {SSV-IA, SSV-IJ} I sent you, and read item 7.
Is this item easy or difficult to answer?
[If difficult] Tell me what you found difficult.
[Probe] Was understanding the question difficult, or was gathering the information difficult?
Now turn to page 3 and read item 19.
Is this item easier to answer than item 7, more difficult, or about the same?
[If not the same] Tell me what you found {more difficult, easier}.
[If more difficult] Was understanding the question more difficult, or was gathering the information
more difficult?
What definition does your {facility, jurisdiction, system} use for the term intersex?
Are other terms used in your {facility, jurisdiction, system} for the concept of intersex?
[If yes] What terms are commonly used in your {facility, jurisdiction, system} instead of intersex?
What definition does your {facility, jurisdiction, system} use for the term transgender?
Are other terms used in your {facility, jurisdiction, system} for the concept of transgender?
[If yes] What terms are commonly used in your {facility, jurisdiction, system} instead of
transgender?

III. Completeness of data
Now I’m going to ask about your {facility’s, jurisdiction’s, system’s} information gathering
practices.
When is information on sex and gender identity of {inmates, youth} collected?
[Probe as needed] For example, is this information collected upon intake?
[If upon intake] How is this information collected for {inmates, youth} who were admitted prior to 2012?
[If not upon intake] When is this information collected? Is this the same for all {inmates, youth}?
If not the same for all] What are the deciding factors?
[Probe] Is collection of this information limited to the investigation of an incident?

What information is collected on sex and gender identity?
[Probe] Does your {facility, jurisdiction, system} ascertain—
- the {inmate’s, youth’s} sex?
- whether an {inmate, youth} is intersex?
- whether an {inmate, youth} is transgender?

Attachment 9

How is an {inmate’s, youth’s} sex and gender identity determined? For example, is it reported by
the {inmate, youth} or are other sources used, such as arrest records, other administrative data,
or medical exams?
[If other sources] What are the sources?
What steps are taken to verify this information, if any?
Is this information sometimes uncovered, refined, or corrected during the investigation of an
incident?
Is information on sex, including intersex, collected from all {inmates, youth}?
[If not all] From which {inmates, youth} is it collected? What are the deciding factors?
[Probe] Is collection of information on sex, including intersex, limited to {inmates, youth} involved in
allegations of sexual victimization?
[If limited to investigations of allegations] Is collection of this information limited to {inmate, youth}
victims, or is it also collected for {inmate, youth} perpetrators?
[If not both victims and perpetrators] What factors are used to decide from whom to collect it?
Is information on gender identity collected from all {inmates, youth}?
[If not all] From which {inmates, youth} is it collected? What are the deciding factors?
[Probe] Is collection of information on gender identity limited to {inmates, youth} involved in
allegations of sexual victimization?
[If limited to investigations of allegations] Is collection of this information limited to {inmate, youth}
victims, or is it also collected for {inmate, youth} perpetrators?
[If not both victims and perpetrators] What factors are used to decide from whom to collect it?

IV. Availability of data
You already told me about your {facility’s, jurisdiction’s, system’s} record keeping and retrieval
practices. Now I’m going to ask some questions about record keeping and retrieval of information
pertaining specifically to sex and gender identity.
[If already answered in section I, verify it here] Is information on sex and gender identity stored and
retrieved with the other data needed to complete the SSV Substantiated Incident forms?
[Probe] For example, is it stored and retrieved with other demographic information such as age or
race, or with other incident data such as location or injury, or is it separate?
[If separate] How is the storage or retrieval information on sex or gender identity different from the
other demographic or incident information?
[If not already answered in section I] Is information on sex and gender identity kept in a centralized
RMS, or do you need to refer to individual incident reports?
[Probe] Is information on sex or gender identity easier or harder to access and retrieve than the other
demographic or incident information, or is it about the same?
[Probe] For example, can it be automatically extracted or compiled, or does it require manual
review of each incident report?

Attachment 9

[Probe] Is information on intersex stored together with or separate from information on sex?
[If together and not already answered] Where is information on sex and intersex stored?
[If separate] Where is information on intersex stored?
[Probe] Is information on gender identity stored together with or separate from information on sex?
[If together and not already answered] Where is information on sex and gender identity stored?
[If separate] Where is information on gender identity stored?

V. Conclusion
Is there anything else on this topic you can think of that we didn’t cover?

Are there other items on the incident form that you would like to discuss?
[Probe] For example, are there items that are difficult to answer or items for which you do not have
complete data?
This concludes the interview. Thank you so much for you time. If you would like to contact me in
the future, you can reach me at 202.307.6170 or [email protected].

Attachment 9

______________________________________________________________________

Questions on sex and gender identity (SSV-IA)
Victim 1 and 2—

Items 7 & 10. What was the victim's sex or gender identity? (See definitions below.)
01 Male
02 Female

03 Transgender
04 Intersex

Perpetrator 1 and 2—

Items 19 & 22. What was the inmate perpetrator's sex or gender identity? (See definitions below.)
01 Male
02 Female

03 Transgender
04 Intersex

Questions on sex and gender identity (SSV-IJ)
Victim 1 and 2—

Items 7 & 10. What was the victim's sex or gender identity? (See definitions below.)
01 Male
02 Female

03 Transgender
04 Intersex

Perpetrator 1 and 2—

Items 19 & 22. What was the youth perpetrator's sex or gender identity? (See definitions below.)
01 Male
02 Female

03 Transgender
04 Intersex

Definitions of transgender and intersex (SSV-IA and SSV-IJ)
Transgender
A person whose gender identity (i.e., internal sense of feeling male or female) is different from the
person’s assigned sex at birth.
Intersex
A person whose sexual or reproductive anatomy or chromosomal pattern does not seem to fit typical
definitions of male or female. Intersex medical conditions are sometimes referred to as disorders of
sex development.