oppBJS-2018-14106-cfda16.739-instructions..pdf

OMB No. 1121-0329 Approval Expires 11/30/2020

U.S. Department of Justice Office of Justice Programs Bureau of Justice Statistics

The U.S. Department of Justice (DOJ), Office of Justice Programs (OJP), Bureau of Justice Statistics (BJS) is seeking applications to obtain a collection agent through a cooperative agreement to administer the fourth National Inmate Survey (NIS-4) 2019-20 - Jails, for a period of 48 months beginning January 1, 2019. As the primary source for criminal justice statistics in the United States, BJS is responsible for collecting, analyzing, publishing, and disseminating statistical information on crime, criminal offenders, victims of crime, and the operations of criminal justice systems at all levels of government. This program furthers the Department’s mission by fulfilling data collection and analysis requirements of the Prison Rape Elimination Act of 2003 (P.L. 108-79). The project will provide data necessary for the annual statistical review and analysis of incidents and effects of rape. It will provide a list of local jail facilities according to the prevalence of sexual victimization.

National Inmate Survey (NIS-4) 2019-20 - Jails Applications Due: June 14, 2018

Eligibility

Eligible applicants are national, regional, state, or local public and private entities; for-profit and nonprofit organizations (including tribal for-profit and nonprofit organizations); faith-based and community organizations; institutions of higher education (including tribal institutions of higher education); federally recognized Indian tribal governments as determined by the Secretary of the Interior; and units of local government that support initiatives to improve the functioning of the criminal justice system.

Foreign governments, organizations, and institutions of higher education are not eligible to apply.

All recipients and subrecipients (including any for-profit organization) must forgo any profit or management fee.

BJS welcomes applications under which two or more entities would carry out the federal award;

however, only one entity may be the applicant. Any others must be proposed as subrecipients (subgrantees).1 The applicant must be the entity that would have primary responsibility for carrying out the award, including administering the funding, managing the entire project, and appropriately managing and monitoring any subrecipients or, as applicable, for administering any procurement subcontract that would receive federal funds from the applicant under the award. Under this solicitation, only one application by any particular applicant entity will be considered. An entity may, however, be proposed as a subrecipient (subgrantee) in more than one application.

1 For additional information on subawards, see "Budget and Associated Documentation" under Section D. Application and Submission Information.

https://www.usdoj.gov/ https://ojp.gov/ https://www.bjs.gov/ https://www.bjs.gov/

BJS-2018-14106

BJS may elect to fund applications submitted under this fiscal year 2018 solicitation in future fiscal years, dependent on, among other considerations, the merit of the applications and on the availability of appropriations.

Deadline

Applicants must register with Grants.gov at https://www.grants.gov/web/grants/register.html prior to submitting an application. All applications are due by 11:59 p.m. eastern time on June 14, 2018.

To be considered timely, an application must be submitted by the application deadline using Grants.gov, and the applicant must have received a validation message from Grants.gov that indicates successful and timely submission. OJP urges applicants to submit applications at least 72 hours prior to the application due date to allow time for the applicant to receive validation messages or rejection notifications from Grants.gov and to correct in a timely fashion any problems that may have caused a rejection notification.

OJP encourages all applicants to read this Important Notice: Applying for Grants in Grants.gov.

For additional information, see How to Apply in Section D. Application and Submission Information.

Contact Information

For technical assistance with submitting an application, contact the Grants.gov Customer Support Hotline at 800-518-4726, 606-545-5035, at https://www.grants.gov/web/grants/support.html, or at support@grants.gov. The Grants.gov Support Hotline operates 24 hours day, 7 days week, except on federal holidays.

An applicant that experiences unforeseen Grants.gov technical issues beyond its control that prevent it from submitting its application by the deadline must email the BJS contact identified below within 24 hours after the application deadline to request approval to submit its application after the deadline. Additional information on reporting technical issues appears under “Experiencing Unforeseen Grants.gov Technical Issues” in the “How to Apply” section.

For assistance with any other requirements of this solicitation, contact Jessica Stroop, BJS Statistician, by telephone at 202-307-0765 or by email at askbjs@usdoj.gov. Include “NIS-4 Jails” in the subject line.

Grants.gov number assigned to this solicitation: BJS-2018-14106

Release date: April 19, 2018 https://www.grants.gov/web/grants/register.html https://ojp.gov/funding/Apply/Grants-govInfo.htm https://www.grants.gov/web/grants/support.html mailto:support@grants.gov mailto:askbjs@usdoj.gov?subject=NIS-4%20Jails

Contents A. Program Description

Overview

Program-Specific Information

Goals, Objectives, and Deliverables

Information Regarding Potential Evaluation of Programs and Activities

B. Federal Award Information

Type of Award

Financial Management and System of Internal Controls

Budget Information

Cost Sharing or Matching Requirement

Pre-agreement Costs (also known as Pre-award Costs)

Limitation on Use of Award Funds for Employee Compensation; Waiver

Prior Approval, Planning, and Reporting of Conference/Meeting/Training Costs

Costs Associated with Language Assistance (if applicable)

C. Eligibility Information

D. Application and Submission Information

What an Application Should Include

How to Apply

E. Application Review Information

Review Criteria

Review Process

F. Federal Award Administration Information

Federal Award Notices

Administrative, National Policy, and Other Legal Requirements

General Information about Post-Federal Award Reporting Requirements

G. Federal Awarding Agency Contact(s)

H. Other Information

Freedom of Information Act and Privacy Act (5 U.S.C. 552 and 5 U.S.C. 552a)

Provide Feedback to OJP

Application Checklist

National Inmate Survey (NIS-4) 2019-20 - Jails

(CFDA # 16.739)

A. Program Description

Overview The Prison Rape Elimination Act of 2003 (PREA; P.L. 108-79; henceforth “the Act”) was enacted on September 4, 2003. The Act requires the Bureau of Justice Statistics (BJS) to “carry out, for each calendar year, a comprehensive statistical review and analysis of the incidence and effects of prison rape.” The Act further instructs BJS to collect survey data: “the Bureau shall…use surveys and other statistical studies of current and former inmates….” The law was passed, in part, to overcome a shortage of available research on the incidence and prevalence of sexual violence in correctional facilities.

To implement the Act, BJS developed the National Prison Rape Statistics Program, which includes four separate data collection efforts: the Survey of Sexual Victimization (SSV, formerly Survey of Sexual Violence), National Inmate Survey (NIS), National Survey of Youth in Custody (NSYC), and National Former Prisoner Survey (NFPS).

Each of these collections is independent, and, while not directly comparable, they provide measures of the prevalence and characteristics of sexual assault in correctional facilities. The SSV collects information about incidents of sexual violence reported to and investigated by adult and juvenile correctional authorities and characteristics of substantiated incidents. The NIS collects allegations of sexual assault self-reported by inmates in correctional facilities. The NSYC gathers self-reported sexual assault data from youth in juvenile correctional facilities. The NFPS measures allegations of sexual assault experienced during a person’s last incarceration, as reported by former inmates under community active supervision.

The award resulting from this solicitation will provide funding, through a cooperative agreement, for a collection agent to administer the fourth round of the NIS (NIS-4) in jails. The NIS is an audio computer-assisted self-interview (ACASI) instrument administered to inmates in correctional facilities to measure the prevalence of sexual assault at the facility level. Project activities include drawing a national sample of local and privately operated jail facilities;

administering the survey to sampled inmates in these facilities; and conducting all data collection, analyses, and reporting activities.

BJS anticipates making one initial award for a 48-month period (January 1, 2019, to December 31, 2022). The initial award may be supplemented depending on available funding and performance.

Statutory Authority: BJS is authorized to issue this solicitation under 34 U.S.C. § 10132(c) and 34 U.S.C. § 30303.

Program-Specific Information The NIS gathers data on the prevalence and incidence of sexual assault in jails, as reported by inmates. The inmates use ACASI technology with a laptop touchscreen and an audio feed to maximize inmate confidentiality and minimize literacy issues. A short paper and pencil (PAPI) questionnaire is made available to inmates unable to complete the ACASI survey.

The first NIS (NIS-1) was conducted in 2007, the second (NIS-2) in 2008-09, and the third (NIS-

3) in 2011-12. The NIS-3 was conducted in 233 state and federal prisons, 358 local jails, and 15 special confinement facilities operated by Immigration and Customs Enforcement (ICE), the U.S. military, and correctional authorities in Indian country. A total of 92,449 inmates, age 18 or older, participated in NIS-3, including 38,251 prisoners, 52,926 jail inmates, 573 ICE detainees, 539 inmates in military facilities, and 160 inmates in Indian country facilities. The survey was also administered to 527 youth, ages 16 to 17 held in state prisons and 1,211 youth, ages 16 to 17, in local jails. The first report from NIS-3 was Sexual Victimization in Prisons and Jails Reported by Inmates, 2011-12 (NCJ 241399, BJS web, May 2013).

Findings from NIS-3 included the following:

• In 2011-12, an estimated 3.2% of jail inmates reported experiencing one or more incidents of sexual victimization by another inmate or facility staff during the past 12 months or since admission to the facility, if less than 12 months.

• Using the same methodology since 2007, the rate of sexual victimization among jail inmates remained unchanged—3.2% in 2007 and 3.2% in 2011-12.

• About 1.6% of jail inmates (11,900) reported an incident with another inmate, 1.8% (13,200) reported an incident with staff, and 0.2% (2,400) reported both an incident by another inmate and staff.

• From 2007 to 2011-12, reports of “willing” sexual activity with staff (excluding touching) declined in jails, while reports of other types of sexual victimization remained stable.

• Patterns of inmate-on-inmate sexual victimization during 2011-12 were consistent with patterns in past surveys. Rates reported by jail inmates were higher among females, whites, and inmates with a college degree compared to males, blacks, and those who had not completed high school.

• Variations in staff sexual misconduct rates were also similar across surveys. Rates reported by inmates were higher among male inmates, black prisoners and inmates, and inmates age 35 or older compared to female inmates, white inmates, and inmates ages 20 to 24.

• Inmates held for violent sexual offenses reported higher rates of inmate-on-inmate sexual victimization (3.9% in jails) than inmates held for other offenses.

• An estimated 3.6% of jail inmates who reported serious psychological distress reported inmate-on-inmate sexual victimization, compared to 0.7% of inmates with no indication of mental health problems.

• Rates of serious psychological distress in jails (26.3%) were substantially higher than the rate (3.0%) in the U.S. noninstitutionalized population age 18 or older.

BJS published survey findings in December 2007 (NIS-1), August 2010 (NIS-2), and May 2013 (NIS-3). Each publication provided information on sampling of facilities, selection of inmates, weighting and nonresponse adjustments, and facility-level estimation. The ACASI sexual victimization questionnaires are available at https://www.bjs.gov/index.cfm?ty=dcdetail&iid=278#Questionnaires.

Data collected in NIS-1, NIS-2, and NIS-3 were used to develop national- and facility-level estimates of sexual assault. Data from the surveys were included in three previous reports from the Attorney General, which were submitted to Congress, the Secretary of the U.S. Department of Health and Human Services, and the Department of Justice (DOJ) Review Panel on Prison Rape, as specified under the Act. The reports provided detailed results from the surveys, including facility rankings and summary findings. They identified facilities with the highest and lowest rates of sexual violence, which the Review Panel on Prison Rape used to solicit testimony from correctional administrators of these facilities.

During 2017, BJS issued two reports using NIS-3 data: Drug Use, Dependence, and Abuse Among State Prisoners and Jail Inmates, 2007-2009 (NCJ 250546, BJS web, June 2017), and Indicators of Mental Health Problems Reported by Prisoners and Jail Inmates, 2011-12 (NCJ 250612, BJS web, June 2017). These reports addressed significant issues in corrections that otherwise could not have been addressed without in-depth NIS data.

NIS-4 will build on past surveys. During 2016, BJS undertook a comprehensive assessment to examine the substantive gaps in the NIS-3 sexual assault questionnaires, and BJS intends to obtain more details on specific incidents in the NIS-4. This assessment also included a review of the NIS-3 survey protocol, sampling methodologies, and analytical products to develop an optimal design to provide reliable facility-level estimates for jail facilities. NIS-4 will include new measures with special emphasis on the nature and circumstances surrounding staff sexual misconduct and boundary violations, collusion among inmates and staff surrounding victimization, impact on victims, and other factors related to facility climate, institutional culture, and correctional leadership. In addition, BJS intends to improve the measurement of facility characteristics that may covary with sexual victimization.

The NIS-4 will mark the first time the survey is conducted separately in prisons and jails. In 2017, BJS issued a competitive solicitation and made an award for a data collection agent to administer the NIS-4 in prisons. The NIS-4 in jails will incorporate the recommendations from the NIS-3 assessment to (1) achieve greater efficiency and cost savings and (2) maximize data quality and minimize burden on sampled facilities. A draft sampling plan is attached to this solicitation (Attachment 1). The applicant must demonstrate how the sampling plan will be finalized to meet the precision desired for the funded level of the award.

Scope of Work

Task 1. Project management

The recipient of funds must manage the NIS-4 data collection in an efficient manner that fosters communications with the BJS project manager (PM) and staff, other project staff, and stakeholders.

Subtask 1.1. Post-award meeting and project schedule

Within 2 weeks of the award, the recipient’s project director (PD) and key staff will attend a post-award “kick-off” meeting with the BJS PM and BJS key staff in Washington, DC.

The initial meeting should focus on a review of the overall project goals and tasks and https://www.bjs.gov/index.cfm?ty=dcdetail&iid=278#Questionnaires discuss areas of concern related to the proposed project scheduling plan, staffing plan, and other management requirements. This meeting will provide an opportunity for BJS staff to share project experience and materials with the recipient. Within 2 weeks of the post-award meeting, the recipient should submit an updated version of the project schedule to BJS for review and comment. The BJS PM will review the schedule and provide comments. Subsequent revisions to the schedule will be done, as needed, and will be submitted after the BJS PM and recipient agree on the changes.

The recipient of funds must develop and maintain a schedule for each task. The schedule must identify start dates for each task and subtask, and expected completion dates for all deliverables shown in the table under Section D. Application and Submission Information. After the BJS PM has agreed to the timetable, all work is expected to be completed, as scheduled, unless the BJS PM is consulted and approves any changes.

Subtask 1.2 Project calls and meetings

The recipient of the funds will establish a routine method for updating the BJS PM and project staff on the status of the project, which will include at least one conference call every 2-3 weeks. The recipient will work with BJS to develop the agendas for these calls.

The BJS PM and the recipient will establish other regular communication vehicles, as needed.

Subtask 1.3 Quarterly reports

The recipient will submit to the BJS PM quarterly progress reports that include (1) all activities performed during the quarter, (2) problems encountered and proposed or enacted solutions, (3) plans for the upcoming quarter, (4) a brief discussion of the expenditure of funds and a statement that indicates the percentage of funds that have been expended and breakdown of total hours worked and expenses for all team personnel, and (5) a statement as to whether the project will be completed according to the time frame specified in the schedule and within the budgeted amount.

Task 2. Survey management

Subtask 2.1 Develop and finalize self-report survey instruments

NIS-4 will consist of up to four questionnaires: (1) a survey of sexual victimization designed for inmates through ACASI, (2) a PAPI for inmates unable to respond through ACASI, (3) an alternative survey designed for a 10% randomly selected sample of inmates in each selected facility, and (4) a facility survey administered concurrently to each sampled facility. The NIS-3 ACASI and PAPI instruments are available on the BJS website at https://www.bjs.gov/index.cfm?ty=dcdetail&iid=278.

BJS will deliver to the recipient draft versions of the NIS-4 sexual victimization survey and alternative survey questionnaires in English and Spanish. BJS will also provide Spanish language questionnaires from NIS-3 and the Spanish translation for NIS-4 prison items that will be duplicated in the NIS-4 jails. The recipient will provide translation for any additional items.

https://www.bjs.gov/index.cfm?ty=dcdetail&iid=278

A cognitive test of the English language items has been completed and the cognitive test report will be made available to the recipient. The recipient of funds is expected to complete a limited cognitive test of the Spanish language items and to make any needed revisions to individual questionnaire items.

Subtask 2.2 Develop ACASI mode of survey administration

The recipient will develop an ACASI application of the questionnaires after receiving the cognitively tested version. The final ACASI instruments will be created from nonproprietary software commonly available to government and industry, in compliance with the government’s desire for portability in applications. BJS retains all rights to the source code used to produce the instruments. Authoring software must be capable of producing a hard-copy version of the ACASI interview instruments and associated audio files.

The recipient will perform a full and sufficient beta test of the programmed ACASI instrument. An electronic file (log) will be provided to the BJS PM demonstrating the date(s) tests were performed, any errors encountered, and document the resolution of issues. This beta test will include a double verification of items that rely on skip pattern programming. Any errors encountered that require reprogramming will be tested again, in a similar double verification process, to ensure accuracy of the ACASI instrument delivered to the BJS PM. This log will be consulted should any variables require reprogramming or imputation once data collection is completed.

The recipient will provide the BJS PM with draft English and Spanish versions of the ACASI instrument (installed on a field laptop) for evaluation before conducting a pilot test. The recipient will deliver a final version of each ACASI instrument to the BJS PM for evaluation and testing 3 months prior to the national field collection.

Subtask 2.3 Test ACASI survey instruments and case management protocols

The recipient will conduct a pilot test of the final ACASI instruments (in English and Spanish) and case management protocols. The pilot test will be conducted in up to four facilities with up to 50 English- and 50 Spanish-speaking respondents. The recipient will work with the BJS PM to recruit facilities and obtain Office of Management and Budget (OMB) clearance. The recipient will be responsible for testing all aspects of the final collection and case management protocols and will deliver a pilot test report to the BJS PM within 30 days of completing data collection.

Subtask 2.4 Update the PAPI instrument

The BJS PM will provide the recipient with updated PAPI survey forms. The forms will contain condensed items from the English and Spanish versions of the ACASI instrument, and they will have language specific for male and female respondents. BJS anticipates only minor changes from the NIS-3 PAPI instruments. The PAPI instruments will be administered to inmates who are unable to complete the survey in the ACASI mode.

Subtask 2.5 Test PAPI instrument and case management protocols

The recipient will conduct a small pilot test of the male and female versions of the updated PAPI instrument(s) in English and Spanish (if feasible) and case management protocols for 25 respondents. The recipient will work with the BJS PM to identify and recruit facilities and obtain OMB clearance. The recipient will be responsible for testing all aspects of the PAPI administration and protocols and will deliver a summary report of the test to the BJS PM within 30 days of completing data collection.

The recipient will produce a more robust protocol for PAPI administration designed to maximize its use in facilities where jail inmates are unable to be physically present for an ACASI interview. The protocol must be designed in conjunction with input from the field so as to achieve maximum utilization while ensuring interviewer safety and facility security.

Subtask 2.6 Develop and test data collection form—facility questionnaire

The NIS-4 also collects data on facility staff, staff turnover, inmate management philosophy, staff testing and training, housing characteristics, crowding, inmate intake and screening, and other facility characteristics. BJS and the recipient will collaboratively develop the facility questionnaire. The recipient will solicit comment from experts and stakeholders and cognitively test the facility survey. The recipient will work with the BJS PM to identify and recruit the field experts. The facility survey will be pilot tested in the same facilities recruited for the pilot test of the ACASI survey. The facility form will contain a maximum of 30 items with multiple response options. The reporting burden is expected to be 45 minutes per response on average. The recipient is expected to finalize the instrument and mode of administration (web or PAPI) and provide it to the BJS PM and project staff for review and approval 3 months prior to national field collection.

Task 3. Sampling—Update sampling frame and execute sample design

BJS will provide the recipient of funds with a draft sample design that addresses the key analytic goals of the NIS-4. The Act requires a sample of at least 10% of jails across the nation, with at least one jail in each state. The NIS-4 aims to measure the impact of the changes that have occurred since the NIS-3. As such, the analytic goals of the NIS-4 will include (1) estimating the 2019 overall sexual victimization rates with similar or better precision to past NIS studies, (2) determining whether sexual victimization rates have changed since the NIS-3 collection, (3) estimating sexual victimization rates among female inmates with similar or better precision than past NIS studies, and (4) enabling the estimation of sexual victimization rates by facility characteristics (e.g., facility size, staffing levels) with reasonable precision. A description of past designs is available at https://www.bjs.gov/content/pub/pdf/svpjri1112.pdf.

As with past designs, the universe for the surveys consists of the inmates residing in the nation’s jail facilities, including all publicly and privately operated jail facilities as identified in the Census of Jail Inmates (most recently completed in 2013) with information supplemented from prior rounds of the NIS. The universe is restricted to local jails with six or more inmates as of December 31, 2013, and will not include ICE, tribal, or military facilities.

https://www.bjs.gov/content/pub/pdf/svpjri1112.pdf

For purposes of expected workload, the recipient should use the attached sample design simulations to select a multistage stratified design with a range of 150 to 300 selected facilities at the first stage. The recipient shall provide an estimated number of sample facilities anticipated and appropriate justification for how the proposed sample will achieve maximum precision to allow primarily for the ranking of jail facilities and the ability to measure change in three domains: the overall level of sexual victimization, inmate-on-inmate victimization, and staff-on-inmate victimization. The recipient will work collaboratively with the BJS PM and staff to finalize the number of facilities and will be responsible for drawing the sample based on the agreed specifications from the BJS PM within the specified amount of this award. Attached to this solicitation is a more detailed description of the potential sample designs and levels of precision.

Prior to drawing the sample, the recipient will update the sampling frame, in collaboration with the BJS PM. The recipient may be required to make contact with jail administrators to further update fields if necessary or impute characteristics from more recent jail studies to ensure a full enumeration before drawing the final sample. The recipient and BJS will obtain OMB clearance before initiating contact with facilities for the purposes of updating the frame.

Task 4. Institutional Review Board (IRB) approvals/OMB clearances/human subjects protocols

Subtask 4.1 Obtain IRB and other research board approvals

The recipient will obtain approval from an IRB for the NIS-4 instruments and survey, and for field management protocols. BJS will accept the recipient’s IRB certification if all appropriate documentation is provided. In addition, the recipient must obtain approval from any additional IRBs or review panels that may be required in sampled jail jurisdictions.

The recipient will provide the BJS PM with copies of all IRB requirements, submissions, and final certifications.

Subtask 4.2 Submit OMB clearance packages and obtain approval

The recipient will prepare a draft of all OMB clearance packages necessary to complete NIS-4 activities. The recipient and the BJS PM will collaborate in finalizing each package, and BJS will submit the package. Together, the recipient and the BJS PM will respond to all OMB passback questions and assist with public comments. OMB clearance is required prior to conducting any data collection activities, including contacting jail administrators to notify them of selection, gaining cooperation, and coordinating the visits. BJS anticipates at least three rounds of submissions to OMB in the approval process:

• The first OMB clearance package will be submitted under BJS’s generic clearance provisions. It is required prior to any further frame development and any cognitive test or systems test of the PAPI and ACASI instruments. A determination will be made at a later date to submit a separate or combined clearance for the testing activities in English and Spanish.

• The second package will also be submitted under BJS’s generic clearance provisions. It is required prior to any pilot test of the ACASI or facility instruments.

• The third submission will be a full clearance package. The recipient will submit a draft of the clearance package to the BJS PM at least 1 month before the final clearance package is transmitted to OMB.

The final OMB clearance package will be submitted at least 6 months prior to the initial contact with the sampled jurisdictions and facilities. The NIS-4 instruments, survey management and field protocols, sample design, and survey administration plan will be finalized before submitting the clearance package to OMB.

Task 5. Recruitment and training prior to data collection

Subtask 5.1 Recruit field representatives (FRs)

The recipient will ensure and certify that every new or returning field representative has completed and passed a full criminal background check, including a search of state and federal criminal records. A new background investigation will be conducted, as needed, for all FRs entering the selected facilities. In addition to normal background clearance procedures, selected facilities may have specific clearance requirements for entry and contact with inmates. On request, the recipient will update background checks or provide information on field representatives to facility authorities to meet specific entry requirements. The recipient must ensure that transfer of such information to facility authorities is secure.

The recipient will have sufficient field representatives who are fluent in Spanish to administer the survey in Spanish when needed. The recipient will have a sufficient number of staff to complete the data collection on time. Before fielding the survey, the recipient will provide a staffing plan for review and approval.

Subtask 5.2 Develop training materials and train staff

The recipient will develop all training materials for the data collection staff and deliver such materials to the BJS PM for review and approval. These materials include instructor manuals, trainee workbooks, exercises, slides, other materials needed before field training starts, and additional materials developed during data collection to address issues experienced in the field. The BJS PM and other BJS staff will participate in at least one training session prior to the start of data collection.

The recipient will ensure that all staff assigned to the project successfully complete the training program, have nondisclosure agreements in place, comply with all facility regulations, and pass required background checks. In addition, the recipient will ensure that staff receive additional guidance and training, if necessary, for new methods or procedures instituted in response to experiences in the field after data collection has started.

Subtask 5.3 Develop a facility recruitment manual

The recipient will develop a facility recruitment manual that addresses all requirements for study implementation. The manual will be completed and delivered to BJS before facility recruitment activities begin. At a minimum, the manual should provide instructions for—

• identifying facility liaisons

• identifying IRB requirements and other research requirements

• identifying external counseling resources (i.e., ensuring that both internal and external counseling services will be available to survey participants)

• determining logistical procedures, such as required security clearance, special requirements for entry into the facility, and any restrictions on schedule, space, or staffing

• determining procedures for obtaining inmate rosters and specifying data elements and procedures for transferring information from the rosters, depending on the nature of consent required.

The recipient will maintain a facility recruitment tracking system that allows the recruitment progress to be recorded and updated. This system will include a record of all contact between project staff and the facility contacts. It will be made available to the BJS PM on request.

Task 6. Fielding the survey

Subtask 6.1 Develop a survey administration plan

The recipient will develop a detailed survey administration plan and deliver it to the BJS PM for review and approval prior to data collection. The plan should describe procedures the recipient will develop and implement to field the NIS-4 and complete data collection on time. It should address procedures that will minimize field costs and achieve a response rate of at least 65% for all inmates.

Subtask 6.2 Maintain real-time tracking reports

The recipient will maintain an electronic system to generate summary reports on the status of the collection, including facility response rates, comparison of the overall response rates with the targeted responses, reasons for facility nonparticipation (e.g., facility closed, out of scope, refusal to participate), and individual nonresponse disposition codes (e.g., lack of consent, staff refusal for inmate, inmate refusal, language problem). The recipient will continuously update this information and provide summary information to the BJS PM every 2 weeks during the collection period in a manner that does not disclose inmate personally identifiable information (PII).

Subtask 6.3 Collect administrative data

The recipient will develop a detailed plan for conducting the facility survey and deliver it to the BJS PM for review and approval prior to data collection. The plan should describe procedures the recipient will develop and implement to field the NIS-4 facility survey and complete data collection on time. The plan should address procedures that will minimize field costs, while achieving a nearly 100% response rate.

Task 7. Post-survey adjustments and analytic files

Subtask 7.1 Data processing for NIS-4, ACASI collection

All data will be collected and stored in a manner consistent with what is discussed in this solicitation under “Goals, Objectives and Deliverables” and “Information System Security and Privacy Requirements.”

The recipient will deliver to the BJS PM a status report on data editing, including a description of how many errors were resolved during this phase (e.g., inappropriate skips, out-of-range values, input errors). The recipient will maintain the records and results of data editing and corrective actions for the BJS PM. These records will be delivered on request. The status report on data editing will be provided within 3 months after data collection ends. It will include summary statistics on the number of problems detected and procedures used to take corrective actions. A plan for data edit checks will be submitted to the BJS PM for review and comment.

The recipient will process and verify data according to BJS standards, which includes implementing BJS-approved coding, editing, and verification procedures. These processing activities will be performed during data collection and analysis and will be completed by the time the recipient delivers the analytic files to BJS.

Subtask 7.2 Data processing for NIS-4, facility collection

The recipient will review data records for completeness and for any problems that may have occurred when the survey was conducted. The recipient will identify problems and take appropriate corrective actions.

Subtask 7.3 Unit and item nonresponse assessment and response plan

In collaboration with the BJS PM, the recipient will conduct an analysis in conjunction with the unit nonresponse analyses and make recommendations to BJS about imputation strategies. BJS will approve the final data imputation strategies. The imputed data and appropriate imputation flag variables will be included in all data files delivered to the BJS PM. The approach will include a proposal for evaluating the effect of imputation on data estimates. The recipient will deliver a description of the approach to the BJS PM soon after data collection begins to obtain agreement on an approach before data collection ends. Results from the analyses will be delivered to BJS soon after data collection ends; they will be discussed in detail in the methodology report (subtask 9.1) and summarized in the data file user’s guide (subtask 8.4).

Subtask 7.4 Assess reliability and validity of inmate self-reports

In collaboration with the BJS PM, the recipient will develop and implement a plan for assessing the reliability and validity of inmate self-reports. In previous NIS collections, interviews were assessed for extreme or internally inconsistent response patterns.

Interviews with response patterns considered unreliable were excluded from the calculations. For the NIS-4, prior to the final weighting, the recipient should consider additional checks, including assessment of time stamps, in-depth review of response patterns, and use of respondent and FR debriefing items.

Applicants should describe their approach to assessing reliability and validity of self-report victimization and discuss additional measures that could be introduced into the NIS-4 instrumentation and protocols to enhance reliability and validity.

Subtask 7.5 Facility- and national-level weights

The recipient will develop and submit a weighting plan to the BJS PM for review and comment no later than 60 days after the data collection begins. A draft of this weighting plan should be submitted once the sampling design is complete.

The plan will discuss what the weights will represent and procedures for development and evaluation. The recipient will develop weights for data collected as necessary to provide facility- and national-level estimates. The weights will be integrated into all data files delivered to the BJS PM. The weights will incorporate nonresponse adjustments and rely on administrative records from the facility survey and information from sampled facility rosters, when available. Once data collection begins, the weighting plans may be revised in close collaboration with the BJS PM.

The weighting procedures at the facility level will follow those used in the NIS-3 as closely as possible. Weights at the national level will reflect each facility’s initial probability of selection and then adjust for variations in eligibility and nonresponse.

(For more information on the NIS-3 weighting, visit https://www.bjs.gov/content/pub/pdf/svpjri1112.pdf.)

The recipient will work collaboratively with the BJS PM to finalize the weighting plan before data collection ends. The weights will be described in detail in the methodology report and included in the data file user’s manuals.

Subtask 7.6 Standard error calculations and adjustment factors

The recipient will prepare a plan for measuring sampling errors and submit it to the BJS PM for review and comment no later than 60 days after data collection begins for national estimates. A draft of this plan should be submitted once the sampling design is complete. The recipient will describe in detail methods for calculating standard errors from small samples and estimates close to 0%, as with facility-level estimates in the NIS-

4. Small samples use the traditional standard error to construct the 95% confidence interval, which may not be reliable for this project. Therefore, the recipient will provide a plan using an alternative method (such as the Wilson method) to construct the confidence intervals for facility-level estimates. The analytic data files delivered to the BJS PM (subtask 8.2) and archive data files delivered to the BJS PM (subtask 8.4) will contain data elements necessary to support the calculation of direct variance estimation for complex survey designs. The recipient can perform these calculations by commonly used statistical software packages such as SUDAAN, SAS, SPSS, Stata, and R.

The recipient will collaborate with the BJS PM to finalize the standard error plan within 30 days after data collection ends. The recipient will describe in detail the methods used https://www.bjs.gov/content/pub/pdf/svpjri1112.pdf to generate variances in the methodology report and the data file user’s manuals. This will allow users to apply the data elements and associated software to calculate the variances, and it will provide an example of the methods and use of the available software.

Task 8. Data files and documentation

Subtask 8.1 Produce constructed variables and documentation

The analytic data files will include calculated variables. BJS expects that this file will contain responses to all of the items on the ACASI survey and the PAPI surveys. Key measures include characteristics of reported sexual victimization, (to include demographic variables), circumstances surrounding the victimization, and perpetrator characteristics.”

Subtask 8.2 Produce analytical files for BJS internal use

Within 6 months after data collection ends, the recipient will deliver to the BJS PM a copy of all analytic data files, supporting documentation, and all code and data necessary to replicate the creation of the derived variables, weights, and standard error adjustments in accordance with BJS specifications and requested formats. These data files will be used to prepare data for release in BJS statistical tables and special reports.

Data files will include both reported and imputed data, imputation flag variables, sample weights, and data elements necessary for direct variance estimation.

Subtask 8.3 Develop and implement a data disclosure plan

The recipient will undertake a disclosure review for each data collection (i.e., sexual victimization and facility survey) and each derived file. To assist with this effort, the recipient will convene an internal panel of experts to assess risks and propose appropriate actions to minimize them. The plan will identify variables that may identify a respondent in the NIS-4 survey and propose methods to mitigate the disclosure risk through actions such as data swapping, data suppression, and data combination. The case characteristics between the public- and restricted-use data files must agree so that analysts using both types of files generate consistent results.

The recipient will identify and implement methods to limit the risk of disclosure of PII for all NIS-4 archived data files, including files designated for public use and restricted-use only. After data collection has been completed, the recipient will submit a data disclosure plan to the BJS PM for review and approval.

The recipient will work collaboratively with the BJS PM to finalize the disclosure plan within 90 days after data collection ends. Once the BJS PM agrees to the solutions to protect against data disclosure, the recipient will execute the plan and incorporate the data changes from the disclosure analyses into the archived data files.

Subtask 8.4 Produce restricted- and public use data files and documentation

The recipient will create and submit to BJS electronic files of the NIS-4 data and documentation, including codebooks, for archiving at the National Archive of Criminal

Justice Data (NACJD) or the OJP designated data archiving agent. All of the archive data files will be created from the analytic data files delivered to the BJS PM. All files will contain all data adjustments for nonresponse, base weights and national weights, sampling information needed to generate standard errors, and calculated variables for analysis. The recipient will work with the archiving agent to resolve any issues or requests that need to be fulfilled before data can be completely archived.

The recipient will archive six data files:

• The first file will be provided to the designated archiving agent within 60 days after the release of the second BJS special report. The file will be a restricted file for Enclave2 access only and will provide the final data from the sexual victimization survey.

• The second file will be provided to the designated archiving agent within 90 days after the release of the second BJS special report. This file will be an unrestricted public use file and provide the final data from the facility survey.

• The third file will contain data from the NIS-4 addendum, a supplemental survey based on a 10% random sample of inmates. This file will be an unrestricted public use file, and the recipient will provide it to the archiving agent within 120 days of the release of the first BJS special report.

• The fourth file will contain data items on inmates common to the core NIS-4 (90%) and the NIS-4 addendum (10%). This file will be an unrestricted public use file, and the recipient will provide it to the archiving agent within 120 days of the release of the first BJS special report.

• The fifth file will contain all facility-level data that combines data from the sexual victimization and facility surveys and calculated facility-level data derived from the sexual victimization survey. These files will be restricted files for Enclave access only, and the recipient will provide it to the designated archiving agent within 90 days after the release of the second BJS special report.

• The sixth file will contain individual-level data items on facility- and individual-level correlates of sexual victimization. This file will be a restricted file for Enclave access only, and the recipient will provide the concatenated data from the core and facility surveys.

All of the archived data files will be accompanied by a user’s manual that provides sufficient detail on how to properly use the data files. The manual will include, but not be limited to, the following:

• a section describing the sample design

• a section describing data collection procedures

• a section that reports the facility and inmate response rates by characteristics and describes the nonresponse rates for facilities and inmates by type of nonresponse and characteristics

• a description of how the data file is organized

2 Enclave refers to the physical data enclave on site at ICPSR in Ann Arbor. Data in the enclave contain highly sensitive personal information. A user looking to access data in the enclave must submit a Confidentiality Agreement signed by the investigator, obtain approval from the relevant Institutional Review Board, and follow strict guidelines regarding any equipment that may enter the facility, or any notes, output, or materials that may leave the facility. For more information see https://www.icpsr.umich.edu/icpsrweb/content/ICPSR/access/restricted/enclave.html https://www.icpsr.umich.edu/files/ICPSR/access/restricted/enclave.pdf https://www.icpsr.umich.edu/files/ICPSR/access/restricted/enclave.pdf https://www.icpsr.umich.edu/icpsrweb/content/ICPSR/access/restricted/enclave.html

• a description of data editing procedures

• a section that reports on the results of the unit and item nonresponse analyses and discusses imputation methods

• a section that provides a general overview and instructions for testing statistical significance of differences

• a description of the weights available on the file and how to use them (i.e., which types of weight would be appropriate for specific analyses)

• a description of the method(s) that could be used to generate standard errors, including instructions and illustrations to help users calculate variances based on the different methods

• frequencies for at least 200 key variables, including imputed and calculated variables

• programming code to create all calculated variables

• the questionnaires

The recipient will be required to follow existing protocols and standards for this collection related to data management, file formats, and naming conventions.

Task 9. Production of statistical products and analytic support

Subtask 9.1 Produce methodology report

The recipient will prepare a methodology report that provides a detailed description of—

(1) sample design and outcomes

(2) data collection procedures and outcomes

(3) first- and second-stage response rates and the variation of response rates by characteristics

(4) editing and coding procedures

(5) assessment of reliability and validity

(6) nonresponse bias assessment, including types of nonresponse at the first and second stage of selection and the variation by characteristics; impact of unit and item nonresponse; methods of imputation and data quality; and other results from the nonresponse bias analysis

(7) weighting schemes for facility- and national-level estimation

(8) methods that may be used to generate standard errors, including appropriate code for calculations using SUDAAN, WestVars, SPSS, SAS, and R

(9) documentation of constructed variables used in the analyses.

A draft report will be delivered to the BJS PM for review and comment within 6 months after the data collection ends. A final report will be delivered prior to the completion of the first BJS special report.

Subtask 9.2 Produce three BJS special reports

The recipient will work closely with the BJS PM and staff to prepare three BJS special reports. The first report, Sexual Victimization in Jails Reported by Inmates, 2019-20, will contain tables similar to those in the previously published reports. The recipient will ensure that measures are comparable. The report will contain facility- and national-level estimates for the purposes of ranking facilities. The report will also examine any observed changes in victimization rates, by type of incident, and explore factors that may account for these changes. Recipients will be responsible for producing the tables and verifying them in compliance with BJS verification standards.

Draft tables for this report will be provided on a flow basis. However, all draft tables will be submitted within 4 months after data collection ends.