National Pretrial Reporting Program

The National Pretrial Reporting Program

Attachment 2A - NPRP_Data_Extraction_Guide_courts_v2

National Pretrial Reporting Program

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Electronic Data Extract Guide

Courts













Prepared by

Cynthia G. Lee

National Center for State Courts

300 Newport Ave

Williamsburg, VA 23185







OMB Control Number: ##### Expiration Date:#####

Contents

Section Page

Appendix

Appendix A: Requested Data Elements, Definitions, and Formats 1






  1. National Pretrial Reporting Program Overview

The goal of the Bureau of Justice Statistics’ (BJS) National Pretrial Reporting Program (NPRP) is to collect information on persons charged with felony cases in state courts, and to collect contextual data on those persons from case filing to case disposition and sentencing. The NPRP will collect case-level information on pretrial release and detention, financial and other conditions associated with pretrial release, and any failures to appear, technical violations, or new arrests that occur during pretrial release.

The project will be completed in several phases by RTI International, with support from project partners the National Center for State Courts (NCSC), the National Association of Pretrial Services Agencies (NAPSA), Applied Research Services (ARS), and Pragmatica, Inc. The first phase collected information from states and counties about the systems that may collect and store these data. Such systems included courts, local jails, and pretrial services agencies. Data capacity surveys were conducted with each agency in the largest 200 counties in the U.S. The surveys allowed RTI and BJS to identify the data providers, understand their systems capabilities, and identify variables that potentially could be used to link the data across agencies.

The remaining phases involve a staged data collection from the 75 largest counties, and a sample of 50 of the remaining 125 counties. RTI and BJS have developed a sampling plan to maximize responsiveness and data representativeness and minimize respondent burden and project costs.

  1. Data Preparation Instructions

This section outlines how to prepare and submit your NPRP data extract submission.

    1. Identifying Eligible Cases

Courts. Your submission should define a case as all charges involved in a single incident filed into your system in calendar year 2019. At least one of the charges must be a felony offense. If a case may include multiple defendants involved in a single incident, please note this in your documentation and contact the NPRP staff listed in Section 3.5. If your case management system defines a case in some other way, please contact the NPRP personnel listed in Section 3.5.

    1. File Structure

BJS is interested in a person-case and following that person-case from arrest and booking into jail, through pretrial processing to court case outcomes. This is an individual- and case-level data collection. You can provide data in any format that is convenient for you, but we ask that you please provide supporting documentation, if available.

    1. File Format

There is no required format for the data you submit; use whatever is most convenient for you. All file formats will be accepted. Some common file formats include:

  • Text files (fixed width, delimited)

  • Excel or .csv files

  • Access database extracts

  • SQL server database

  • Data analysis software files (e.g., SAS, STATA, SPSS, or R data files)

The suggested coding classifications and value labels were developed to be as consistent as possible with the National Open Court Data Standards (NODS) and are provided in Appendix A. You are not asked to recode or manipulate your data prior to submission. If you have questions about any of the data elements requested, please contact the persons listed on the cover of this guide. We recognize that systems vary in terms of the ability to store, extract, and share data, and we are prepared to assist you.

Data from your jurisdiction will ultimately be combined with data from up to 75 other counties to gain a robust perspective on pretrial case processing in the U.S. During the data standardization process, RTI and NCSC may be in contact with jurisdiction personnel to request clarification on data fields and meanings to ensure that all submitted data are processed correctly.

    1. Supporting Documentation

If possible, we ask that you provide supporting documentation with your submission. Specifically, we request:

  • Date range of the data (e.g., 01/01/2019 through 12/31/2019)

  • Date that the data extract was pulled

  • Data point of contact (POC) (i.e., name, organization, address, telephone, and email address)

  • File format of the data extract

  • Known data limitations or quality issues

    • Missing data:

      • System-missing (requested data element is not available in the system)

      • Unit-missing (requested data element is available, but mostly blank or missing)

    • Other common data issues include

      • Misspellings

      • Redundancy or duplication (e.g., two date fields for one event)

  • Data formatting information

    • Data dictionaries, including variable/column names, variable description, expected variable values

    • Any known discrepancies in the names of data elements in Appendix A and how your system labels the data elements

  1. Data Submission Instructions

RTI will create a private, password-protected user account for each Data Point of Contact (Data POC) to upload data to Amazon Web Services (AWS) Simple Storage Service (S3). This AWS S3 storage location will only be accessible from designated network subnets. The Data POC will need to provide their subnet range or specific IP address from which they will be accessing AWS S3 from so the access control rules may be updated to grant access to the Data POC from their network. A free and easy way to discover your IP address is to go to https://www.iplocation.net/ Once data access has been set up, the Data POC will log into their private account to transfer the requested data to a secure central data storage system on AWS S3.

Data security note: All data are encrypted in transit to AWS and at rest within AWS (SSL in transit and AES 256-encryption at rest), complying with the FIPS 140-2 standard. The secure AWS S3 repository will hold all raw data files received from the courts, jails, and pretrial services agencies until they are processed, linked, de-identified, and subsequently deleted by RTI data analysts. RTI controls access to the data storage system; all access to data resources will be logged, and the entire infrastructure will be reviewed and regularly scanned for vulnerabilities. The data storage system will be configured to deny public access by default, and we will use Amazon’s Macie service to regularly scan and evaluate the security status of the storage. All RTI and NCSC staff granted access to data files (identified and deidentified files) will be required to sign a Staff Data Security Agreement. This pledge outlines staff responsibilities for protecting the confidentiality of all information identifiable to a private person that is collected during the project. The RTI Principal Investigator is responsible for maintaining up-to-date record of signed pledges.

    1. Will the data be secure and kept confidential?

Consistent with its statutory obligations (34 U.S.C. § 10134), BJS only uses information collected under its authority for statistical or research purposes. Further, BJS is required by law to protect the confidentiality of all personally identifiable information (PII) it collects or acquires in conjunction with BJS-funded projects (34 U.S.C. § 10231), and must maintain the appropriate administrative, physical, and technical safeguards to protect the identifiable information against improper use or unauthorized disclosure. BJS will not use or reveal data identifiable to a private person, except as authorized under 28 CFR § 22.21 and § 22.22. The BJS Data Protection Guidelines summarize the federal laws, regulations, and other authorities that govern information acquired under BJS’s authority, and are published on the BJS website: https://www.bjs.gov/content/pub/pdf/BJS_Data_Protection_Guidelines.pdf. RTI and NCSC are required to adhere to these same requirements as a condition of funding.

      1. Data Transmission

RTI and NCSC project staff will receive data sets in a secure manner via an encrypted AWS GovCloud S3 server, appropriate for files with PII. RTI will create a private, password-protected user account that relies on an email address and IP address for each agency to upload data to the AWS S3 storage location. This AWS S3 storage location will only be accessible for the email and IP address granted access to the server. Any data set(s) electronically transmitted to BJS will be over the DOJ’s Office of Justice Programs (OJP) secure transfer site.

      1. Data Storage and Access

The secure AWS S3 repository will hold all raw data files received from the agencies until they are processed, linked, and subsequently deleted by RTI. Once received and linked with other available records, raw data files will be stripped of PII and replaced with an anonymous identifier. RTI will retain a PII-anonymous identifier crosswalk in case a revised file is submitted later. This fille will be encrypted, password protected, and stored on a secure RTI server in the event the AWS S3 storage location is breached. Access to the S3 instance will be restricted to individuals with an identified business need. RTI controls access to the data storage system; all access to data resources will be logged, and the entire infrastructure will be reviewed and regularly scanned for vulnerabilities. PII is encrypted while in transit, and access to the data will be limited to those employees who have a need for such data and have signed a confidentiality pledge. The pledge includes an agreement to comply with all data security and human subjects' protection requirements.

      1. Data Publication

BJS only publishes de-identified data at the aggregate level in its project findings, reports, data files, and other statistical products. BJS archives its published data and related data documentation (e.g., user guides) at the National Archive of Criminal Justice Data (NACJD), located at the University of Michigan. To the extent practical, BJS removes, masks, or collapses direct and indirect identifiers prior to sending data to NACJD to protect confidentiality. NACJD takes additional precautions to protect confidentiality, including conducting a comprehensive disclosure risk review to determine the appropriate level of security that should be applied to the data. For more information on data requiring additional security protections, please see: https://www.icpsr.umich.edu/icpsrweb/content/NACJD/restricted.html.

We understand that your agency may have preexisting policies in place around data sharing, and we will work with your agency to meet any data transfer or agreement requirements you may have. While each of the identified data elements was selected to help fully understand the processing of case data, we recognize that not all data elements may be collected or readily available electronically for public use. Please notify us if you limit the amount or type of data you can release.

    1. When is the submission due?

We ask that all participating agencies provide their data by ##/##/####. However, please reach out to the staff identified in Section 3.5 if you need additional time to submit your data.

    1. What if I am unable to provide all the requested data?

We do not expect that any one organization has all of the data elements requested in Appendix A. Please provide those data elements that are available. If your agency does not collect any of the information in Appendix A, or if it would be too burdensome to provide the data, please contact the staff in section 3.5.

    1. What happens after we submit the data?

RTI or NCSC will review the contents of the data files and conduct a series of checks to the data elements requested in the Appendix A. This should be completed within 2-4 weeks of submission. RTI or NCSC will then contact the Data POC to review and confirm the findings from the review. We may also have questions about variable values or labels, and will take all steps to understand your data submission.

    1. Whom do I contact if I have questions?

Please reach out to Cynthia Lee (NCSC) at [email protected] or 757-259-1583 for questions or support in submitting your data to the AWS S3 server.



Appendix A:
Requested Data Elements, Definitions, and Standard Formats

The following series of tables includes the data elements for the NPRP. The name of the variable and the description provided should help you to locate a similar data element in your data management systems. We are also including a standard format, which is how we expect to standardize the data you submit.

Please contact any of the NCSC personnel listed in 3.5 if you have any questions about the following data elements.

Table 1. Case-level data

Name

Definition

Standard Formats

Court case number

Unique identifier for case


Associated case number

Unique identifier for this case at another court level. Used for purposes of linking limited jurisdiction and general jurisdiction cases.


First name

The defendant’s first name

 Text, character, string

Middle name (if available)

The defendant’s middle name

Text, character, string

Last name

The defendant’s last name

 Text, character, string

State ID number

The defendant’s unique, fingerprint-supported state identification number

 

FBI Number

The unique identification number given by the Federal Bureau of Investigation’s Interstate Identification Index to each offender (if available)

 

Other personal identifiers if SID and FBI number are not available

If SID and FBI number are not available, please provide any other unique identifier assigned to a person, such as a Social Security Number or Driver’s License Number. Please describe in data documentation

 

Other system identifiers assigned to a person

Include any other unique identifiers that specify the individual in your data system. For example, booking ID, inmate ID, or client ID. Please describe in data documentation.

 

Date of birth or age

The defendant’s date of birth. If not available, defendant’s age (and please include age at what reference period in the documentation. For example, age at arrest, age at booking, age at filing)

mm/dd/yyyy

Sex

The defendant’s biological sex/sex assigned at birth

Male, Female, Other, Unknown

Race

The defendant’s race

(OMB race categories if available) White, Black or African American, Asian, Native Hawaiian or Other Pacific Islander, American Indian or Alaska Native, Other, Unknown.

Ethnicity

The defendant’s ethnicity

Hispanic or Latino; Not Hispanic or Latino; Unknown. If race and ethnicity are stored in the same field, please contact one of the persons listed in Section 3.5

Date of offense

Date the alleged offense occurred

mm/dd/yyyy

Date of arrest

Date the individual was arrested for the offense

mm/dd/yyyy

Date court case filed

Date the case was filed in court

mm/dd/yyyy

Date of initial appearance

Date the defendant first appeared before a judicial officer after arrest. Typically, this initial appearance determines whether the defendant will be detained or released. Please include in data documentation what occurs at the first appearance after arrest

mm/dd/yyyy

Attorney type at initial appearance

Type of attorney representing the defendant at initial appearance, if any

Public defender, assigned/appointed counsel, private counsel, attorney of unknown type, no attorney

Date of arraignment

Date the defendant was arraigned. Arraignment typically includes advising defendant of charges against them, advising them of rights, and requesting the defendant to enter a preliminary plea. Please include in data documentation what occurs at the arraignment

mm/dd/yyyy

Number of FTAs

Number of times defendant failed to appear in this case

Integer

Any FTA

Did defendant ever fail to appear in this case?

Y/N

Disposition date

Final disposition date for the case as a whole

mm/dd/yyyy

Attorney type at disposition

Type of attorney representing the defendant at disposition, if any

Public defender, assigned/appointed counsel, private counsel, attorney of unknown type, no attorney

Attorney type at sentencing

Type of attorney representing the defendant at sentencing, if any

Public defender, assigned/appointed counsel, private counsel, attorney of unknown type, no attorney




Table 2. Charges—one record per charge, multiple records permitted per case

Name

Definition

Standard Formats

Court case number

Unique identifier for case


Charge number

Identifier for charge within case (e.g., sequence number)


Charge filing date

Date on which the charge was filed with the court

mm/dd/yyyy

Filing Charge Statute/Ordinance Number

The statute/ordinance number that defines the alleged behavior as an offense

Numeric

Filing NCIC Code

The NCIC code associated with the charge at filing

Text/Numeric

Filing Charge Description

Description of the offense at filing

Text

Filing Charge Degree

Charge class severity/degree at filing. For inclusion in the NPRP, at least one of the filed charges must be a felony

Felony, gross misdemeanor, misdemeanor, violation

Filing Charge Degree Detailed

The specific class severity or degree provided by statute for each charge against the defendant

Text

Filing Charge Modifiers

The specific type of mitigator or enhancer associated the filed charge

Attempt
Conspiracy
Solicitation
Domestic Violence
Use of a weapon
Other

Disposition Charge Statute/Ordinance Number

The state statute/ordinance number that defines the alleged behavior as a criminal offense for each disposed charge

Statute or ordinance number

Disposition NCIC Code

The NCIC code associated with the charge at disposition

NCIC code

Disposition Charge Description

Description of the offense at disposition

Text

Disposition Charge Degree

Charge class severity/degree at disposition

Felony
Gross misdemeanor
Misdemeanor
Violation

Disposition Charge Degree Detailed

The specific class severity or degree provided by statutory laws for each disposed charge

Text

Disposition Charge Modifiers

The specific type of mitigator or enhancer associated the disposed charge

Attempt
Conspiracy
Solicitation
Domestic Violence
Use of a weapon
Other

Charge Disposition Date

Date when the charge received a judgment or disposition

Date

Charge Manner of Disposition

The manner in which the charge was disposed

Jury Trial
Bench Trial
Non-Trial

Charge Disposition

The judgment or disposition entered by the court for the charge

Bindover/Transfer
Conviction at trial
Guilty plea
Acquittal
Entry into a problem-solving court docket
Diversion (not to a problem-solving court docket)
Continued without a finding Dismissed/Nolle Prosequi
Other

Charge Sentencing Date

Date when the charge received a sentence

Date


Table 3. Pretrial risk assessment—one record per assessment, multiple records permitted per case

Name

Definition

Standard Formats

Court case number

Unique identifier for case


Date of pretrial risk assessment

Date the pretrial risk assessment was ordered or conducted

mm/dd/yyyy

Pretrial risk assessment instrument

Type of pretrial risk assessment administered.


Risk assessment score

The risk assessment category assigned to the defendant. Include description of scores in the data documentation

 




Table 4. Pretrial release determinations—one record per event, multiple records permitted per case

Name

Definition

Standard Formats

Court case number

Unique identifier for case


Pretrial release determination type

Type of event

e.g., Initial appearance, Bail review, Revocation hearing

Date of pretrial release determination

Date of event

mm/dd/yyyy

Type of bond set

If bond was set, what type of bond was ordered

Cash bail, other financial bail, property bond

Bond amount information

If court set a financial bond, the amount ordered

Number

Bond posted

Was bond posted?

Y/N

Date bond posted

Date bond posted

mm/dd/yyyy

Type of detention ordered

Reason the court detained the defendant

No bond, preventive detention, other

Type of release ordered

Type of bond or release ordered, if applicable. Please detail in data documentation the types of release available in your jurisdiction

Personal recognizance/ROR, percentage/secured bond, unsecured bond, cash bond, property bond, other

Conditions of release

Conditions the defendant must follow when released pretrial

Release to supervising agency, electronic monitoring/house arrest, drug/alcohol testing, no contact order, program compliance, Ignition interlock, other

Attorney type at pretrial release determination

Type of attorney representing the defendant at this event, if any

Public defender, assigned/appointed counsel, private counsel, attorney of unknown type, no attorney

Bond modifications or revocations

If the defendant incurs a new arrest or violation of pretrial supervision and receives a revocation or modification of bond


Date of bond modification or revocation

The date the bond is modified or revoked

mm/dd/yyyy




Table 5. Sentencing—one record per sentence type per case or charge; multiple records permitted per case/charge; indicate whether provided at case or charge level

Name

Definition

Standard Formats

Court case number

Unique identifier for case


Charge number

Identifier for charge within case (e.g., sequence number), if sentence recorded at charge level


Sentence Type

Type of sentence the defendant was mandated to serve.

death penalty
life in prison
state prison
jail
lifetime supervision
extended supervision/split sentence
probation
fine/monetary penalty
restitution
community service
time served
other

Sentence Length

Length of sentence imposed by the court, by term. Indicate units (years, months, days, etc.) in data documentation.

Numeric

Sentence Conditions

Additional conditions imposed at sentencing.

Text

Concurrent/ Consecutive Sentence Flag

Flag to indicate the sentence is to be served concurrently or consecutively.

Yes/No

Time Served Credit Length

Length of time (specify units) spent in pretrial detention that was credited toward the sentence the defendant was mandated to serve.

Numeric

Monetary Penalty Type

A type or category of obligation, e.g., fee, fine, damages, court costs, special funds, liquidated damages.

Fees
Fines
Damages
Court costs
Special Funds

Monetary Penalty Amount

Total dollar amount for each monetary penalty type

Currency

Restitution Amount

Dollar amount of restitution ordered

Currency

Alternative Fine Indicator

Was there a sanction or alternative to fine, such as community service

Yes/No


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