Reportable Incident Guidelines
INITIAL REPORTABLE INCIDENT REPORT TRANSCRIPTION GUIDELINES FORM SCOC-011
(Revised 11/05/92)
The following is a list of incidents that are to be reported to the Commission either immediately, within six (6) hours or within twenty-four (24) hours of occurrence or discovery.
1. Major Disturbances, Escapes, Inmate Group Actions, Personnel
Group Actions, Hostage Situations, Firearm Discharges, Natural/Civil Emergencies and Major Maintenance/Service Disruption shall be reported immediately.
2. Deaths shall be reported within six (6) hours of pronouncement of death in form and manner prescribed by the Commission's Medical Review Board.
3. All other reportable incidents shall be reported via applicable forms within twenty-four (24) hours of occurrence or discovery.
Form SCOC-011 (Revised 11/92) contains the necessary information requested during the initial telephone contact.
Please familiarize yourself thoroughly with the transcription guidelines as they indicate computer instruction as well as procedural instructions.
1. DO NOT ENTER THE SCOC (LRI) NUMBER. THIS NUMBER WILL BE ASSIGNED BY THE COMMISSION WHEN THE INCIDENT IN QUESTION IS PROCESSED.
The prefix numbers refer to the current year, followed by three alpha letters LRI (Local Reportable Incident), followed by the chronological number of the incident occurring in the current year.
Example: 93-00100
NOTE: Counties will be issued an LRI control number after the necessary forms have been processed by the Commission. This number will be included on a computer generated printout which will be forwarded to the facility subsequent to the processing of same.
2. ENTER THE NINE CHARACTER ORI (ORIGINATING AGENCY) NUMBER
The ORI numbers are located in the Reportable Incident Guidelines for County Correctional Facilities manual that was distributed to each facility and in the back of the manual in the appendix section.
Note: When referring to the agency number, the ORI number is an interchangeable term with the NCIC number. Do not confuse this with the four digit NCIC Law Codes.
3. ENTER THE FOUR DIGIT FACILITY CODE NUMBER
These numbers are located in the Reportable Incident Guidelines for County Correctional Facilities manual that was distributed to each facility and in the back of the manual in the appendix section.
A breakdown of the code is as follows:
(a) The first two numbers refer to the number assigned to each county 01-58.
(b) The second two numbers indicate the type of facility;01 = county jail; 02 = county pen; 03-10 = other facility.
Example: 0101 = Albany County Jail 1402 = Erie County Penitentiary
4. ENTER THE SPECIFIC NAME OF THE FACILITY REPORTING THE INCIDENT.
(e.g., Jail, Penitentiary, Women's Unit, etc.)
Example: DeKalb County Jail
5. ENTER THE INCIDENT CODE
Incident codes are located on the top of each tabulated category in the Reportable Incident Guidelines for County Correctional Facilities next to the category title in parenthesis.
Transcribe the two digit code indicated next to the general incident category.
Transcribe the two digit code which precedes the reportable incident category.
Transcribe the one digit code which precedes the most serious reporting requirement.
Transcribe the letter code of a sub-section (e.g., "a" would indicate a deadly or dangerous weapon in the reporting requirement for contraband).
Note: If there is no sub-section, leave the data box blank.
Example: An Inmate/Inmate Assault which resulted in treatment in an emergency room would be coded as follows:
01 01 2
An Inmate Introduced Fireworks would be coded as follows:
04 01 1C
6. ENTER THE SPECIFIC INCIDENT CATEGORY
Example: Inmate/Inmate Assault
Visitor Introduced Contraband
7. ENTER THE DATE THE INCIDENT OCCURRED
Transcribe the standard six digit number (mm/dd/yy) using lead zeros when necessary.
Example: 1/2/93 = 01/02/93
8. ENTER THE FOUR DIGIT CONTINENTAL (MILITARY) TIME THE INCIDENT OCCURRED.
A continental time conversion chart is located in appendix section.
Example: 1:00 PM = 1300
9. ENTER Y=YES OR N=NO FOR USE OF FORCE BY STAFF
Example: In order to terminate a fight between Inmate Brown and
Inmate Smith, Inmate Smith had to be subdued with flexicuffs. Y = YES
10. ENTER FACILITY CLASSIFICATION USING USING THE DIGITS 12, 4, OR 2 USING LEAD ZEROS WHEN NECESSARY.
Refer to #10 on the Initial Reportable Incident Code sheet.
Example: The DeKalb County Jail is operating under 4 classification = 04
Note: The facility must be classifying in one of the above numbers at the time the incident occurred.
11. ENTER THE LOCATION IN WHICH THE INCIDENT OCCURRED.
Refer to #11 on the Initial Reportable Incident Code sheet
AH = Admission/Holding MO = Mental Observation BR = Bathroom MU = Medical Unit DA = Dayroom PA = Program Area
DR = Dining Room PC = Protective Custody EL = Elevators PS = Punitive Segregation GH = General Housing
RA = Recreation Area HL = Hallway ST = Staircase KI = Kitchen TV = Transporting Vehicle KL = Keeplock OT = Other
Example: Inmate Brown and Smith fought in the recreation
area = RA
11a. ENTER IN NARRATIVE THE SPECIFIC LOCATION OF THE INCIDENT.
Example: A Block 2nd Floor West Wing Cell #4
Note: Do not confuse this with the location code.
12. ENTER IN THE TOTAL NUMBER OF INMATES INVOLVED IN THE INCIDENT
Example: Two Inmates Involved = 02
Note: Use lead zeros when necessary.
REPORTING INFORMATION
13. ENTER THE TITLE OF THE PERSON REPORTING THE INCIDENT.
Abbreviations are acceptable.
Example: Sergeant = Sgt.
14. ENTER THE LAST NAME OF THE PERSON REPORTING THE INCIDENT.
Example: Ryan
14a. ENTER THE FIRST NAME OF THE PERSON REPORTING THE INCIDENT.
Example: Thomas
15. ENTER THE DATE THE INCIDENT WAS REPORTED TO THE STATE COMMISSION OF CORRECTION.
Transcribe the eight digit number (mm/dd/yy) using lead zeros when necessary.
Example: 1/22/92 = 01/22/93
16. ENTER THE TELEPHONE NUMBER OF THE PERSON REPORTING THE INCIDENT AS FOLLOWS: AREA CODE - TELEPHONE NUMBER - EXTENSION.
Example: 303-459-6217 x 215
Note: Transcribe the extension number beginning with the first data box. Leave boxes that do not contain numbers blank.
INMATE INFORMATION
The following section of the form requests information specific to each inmate involved in the incident. Questions 17-37a are to be repeated for each inmate. Providing inmate information in questions 38-55 is contingent upon the requirements for respective incident categories as outlined in the Notification Chart at the beginning of this manual. If there are more than two inmates, use another form (SCOC-011) and attach it to the original.
17. ENTER THE LAST NAME OF THE INMATE INVOLVED IN THE INCIDENT.
Example: Inmate #1 = Brown
18. ENTER THE FIRST NAME OF THE INMATE INVOLVED IN THE INCIDENT.
Example: Inmate #1 = Paul
19. ENTER THE MIDDLE INITIAL OF THE INMATE INVOLVED IN THE INCIDENT.
Example: Paul Brown's middle initial = F
20. ENTER THE INMATE'S LOCAL IDENTIFICATION NUMBER INDICATIVE OF THE NUMBERING SYSTEM UNIQUE TO THE REPORTING FACILITY USING LEAD ZEROS IF NECESSARY.
Example: 000 93-01-01
21. ENTER THE INMATE'S NYSID NUMBER
Example: 3814293M = 03814293M
Note: In the event of a non-computerized finger print sheet
there may be less than seven numbers and no alpha check digit.
In addition, the NYSID number will be expanding to an eight digit number with an alpha check digit in the future. The data box has been expanded to accommodate the change.
Transcribe lead zeros to complete an eight digit number plus the alpha check digit.
Substitute a missing alpha check digit with a dash.
Example: 814293 = 00814293
22. ENTER THE INMATE' DATE OF BIRTH.
Transcribe the eight digit number (mm/dd/yy) using lead zeros when necessary.
Example: 8/20/65 = 08/20/1965
23. ENTER THE INMATE'S SEX.
Refer to #23 on the Initial Incident Code Sheet.
M = Male
F = Female
U = UnknownExample: Paul Brown is a male = M
Note: Unknown refers to an individual who is not identified as a male or female (e.g., an individual undergoing a sex change).
24. ENTER THE INMATE'S RACE.
Refer to #24 on the Initial Reportable Incident Code Sheet.
W = White B = Black I = American Indian/Alaskan Native A = Asian or Pacific Islander O = Other U = Unknown
Note: Race definitions are as follows:
White - a person having origins in any of the original peoples of Europe, North Africa, or the Middle East.
Black - a person having origins in any of the black racial groups of Africa.
American Indian or Alaskan Native - a person having origins in any of the original peoples of North America, and who maintains cultural identification through tribal affiliation or community recognition.
Asian or Pacific Islander - a person having origins in any of the original peoples of the Far East, Southwest Asia, the Indian Subcontinent, or the Pacific Islands. This area includes China, India, Japan, Korea, the Philippine Islands, and Samoa.
Other - any other races not covered by the above categories.
Unknown - any person whose race is unknown should be included her.
Example: Paul Brown is white = W
25. ENTER THE INMATE'S ETHNIC ORIGIN.
Refer to #25 on the Initial Reportable Incident Code sheet
H = Hispanic N = Not Hispanic U = Unknown
Note: Ethnic origin definitions are as follows:
Hispanic - a person of Mexican, Puerto Rican, Cuban, Central or South America or other Spanish culture or origin, regardless of race.
Not Hispanic - a person not covered by the above category.
Unknown - any person whose ethnic origin is unknown should be included here.
Example: Paul Brown is not Hispanic = N
26. ENTER THE DATE THE INMATE WAS ADMITTED INTO THE FACILITY.
Transcribe the eight digit number (mm/dd/yy) using lead zeros when necessary.
Example: 7/4/93 = 07/04/1993
27. ENTER THE INMATE'S STATUS CODES AT THE TIME THE INCIDENT OCCURRED.
Refer to #27 on the Initial Reportable Incident Code Sheet.
S = Sentenced U = Unsentenced A = Adult M = Minor I = Intermittent P = Parole Violator V = Probation Violator J = Jail Probation
R = State Ready C = Civil F = Federal B = Boarded In
Transcribe either S = Sentenced or U = Unsentenced in the first data box.
Transcribe either A = Adult or M = Minor in the second data box.
The last two boxes were designed for the more specific codes.
Transcribe all that apply in order of importance.
Place an X in all empty data boxes.
Example: Paul Brown is an unsentenced, adult, boarded in.
U A B XXX
Note: Jail/Probation refers to a probated sentence with a maximum of 60 days for a misdemeanor and six months for a felony to be spent lodged in a local facility. The jail sentence runs concurrently with probation. It is commonly known as split consecutive or shock probation.
28. ENTER THE INMATE'S MEDICAL CODE.
Refer to #28 on the Initial Reportable Incident Code sheet.
N = None F = Limited to Facility E = Emergency Room H = Admitted to Hospital
Example: Paul Brown was taken to the emergency room = E
29. ENTER INMATE'S ROLE CODE.
Refer to #29 on the Initial Reportable Incident Code sheet.
V = Victim P = Perpetrator W = Witness N = Not Applicable
Example: Paul Brown is the victim = V
Note: Definitions of each category are located here XXXXXx
30. ENTER IN NARRATIVE THE MOST SERIOUS BOOKING OR CONVICTION CHARGE LODGED AGAINST THE INMATE AT THE TIME THE INCIDENT OCCURRED.
Example: Paul Brown was charged with criminal mischief 1st degree.
31. THESE DATA BOXES REFER TO CHARGE CODES. USE "DCJS PENAL LAW AND VEHICLE AND TRAFFIC CHARGE CODE MANUAL" AS A REFERENCE.
LAW (#31) refers to the chapter of the "Consolidated Laws of New York." (e.g. McKinney's)
ENTER THE LAW CODE ABBREVIATION.
Note: Law abbreviations are found hereXXXXXXX.
32. ENTER THE SECTION OF THE LAW.
Section #32 refers to the locator number within the law.
33. ENTER THE SUBDIVISION OF THE LAW USING LEAD ZEROS WHEN NECESSARY.
Note: Subdivisions of the violated law should be entered where they are applicable. In the event a subdivision is not applicable place a 0 in both data boxes marked SUBDIVISION.
34. ENTER THE LETTER "A" FOR ATTEMPT.
Note: If the charge is for the actual crime and not the attempt transcribe 0 in the data box.
35. ENTER THE APPROPRIATE LETTER FOR CATEGORY.
F = Felony
V = Violation
M = Misdemeanor
I = Infraction
36. ENTER ONE CHOICE FROM THE INSTRUMENT CODES.
Refer to #36 of the Initial Reportable Incident Code sheet.
BS = Bedsheet MD = Medicine RO = Rope BH = Broom/Mop Handle CL = Clothing FE = Fire Extinguisher SL = Shoelaces
ID = Illegal Drug(s) CH = Chemicals HF = Hands/Feet, etc. RZ = Razor TE = Teeth FO = Fork OT = Other KN = Knife
NA = Not Applicable SP = Spoon
Example: Both inmates Brown and Smith used their hands and feet in the fight = HF.
Note: If more than one instrument was used choose the one that caused the most damage. Be specific regarding all instruments used when commenting in the summary or the Narrative report (SCOC-013) if required. In the event the other category is chosen, please specify in the summary or the Narrative report (SCOC-013) if required.
37. ENTER TYPES OF USE OF FORCE CODES. TRANSCRIBE ALL THAT APPLY.
Refer to #37 of the Initial Reportable Incident Code sheet.
BH = Body Holds MR = Mechanical Restraint CH = Chemical Agent BA = Baton/Stick ME = Medication
ED = Electronic Devices (Stun Guns) SJ = Straight Jacket CA = Canine FA = Firearms
Example: Inmates Paul Brown and John Smith had to be physically separated. John Smith had to be flexi-cuffed.
Paul Brown = BH
John Smith = BH, MR
Note: Place an X in all empty data boxes.
37a. ENTER BRIEF NARRATIVE FOR A TYPE OF FORCE USED THAT IS NOT LOCATED ON THE CODE SHEET.
Note: If no other type of force is used, place an X in the box.
38-49. ENTER AN X NEXT TO EACH CATEGORY THAT APPLIES.
Example: John Smith has been known to be an assaultive substance abuser. An X would be transcribed next to disciplinary problems, assaultive behavior and substance abuse.
Place a 0 next to categories that do not apply.
Note: If any categories apply, comment on #4 of the
Narrative report (SCOC-013) as required per the Notification chart located at the beginning of the manual.
50-55. CHECK ALL THAT APPLY RELATIVE TO ADMINISTRATIVE ACTION TAKEN. PLACE AN X NEXT TO THOSE THAT APPLY.
Example: Paul Brown was placed in Administrative Segregation and placed on Constant Supervision. An X would be transcribed next to Administrative Segregation and Constant Supervision.
Note: If any categories apply, comment on #4 of the Narrative report (SCOC-013) as required per the Notification chart located at the beginning of the manual.
If action taken is not indicated on this data sheet, specify in narrative in question #55 entitled "other".
56. ENTER THE TITLE OF THE STAFF MEMBER(S) INVOLVED AT THE TIME THE INCIDENT OCCURRED.
Abbreviations are acceptable:
Correction Officer = CO
Sergeant = SGT.
Lieutenant = LT.
Captain = CAPT.
Superintendent = SUPT.
Example: Correction Officer Barbara Wells = CO
57. ENTER THE LAST NAME OF THE STAFF MEMBER(S) INVOLVED AT THE TIME THE INCIDENT OCCURRED.
Example: Wells
58. ENTER THE FIRST NAME OF THE STAFF MEMBER(S) INVOLVED AT THE TIME THE INCIDENT OCCURRED.
Example: Barbara
59. ENTER THE MIDDLE INITIAL OF THE STAFF MEMBER(S) INVOLVED AT THE TIME THE INCIDENT OCCURRED.
Example: T
Note: If there is no middle initial leave the data box blank.
60. ENTER THE STAFF MEMBER(S) SEX.
Refer to #63 on the Initial Reportable Incident Code sheet.
M = Male F = Female U = Unknown
Note: Unknown refers to an individual who is not identified as a male or female (e.g., an individual who is undergoing a sex change).
61. ENTER THE STAFF MEDICAL TREATMENT CODES.
Refer to #64 on the Initial Reportable Incident Code sheet.
F = Limited to Facility E = Emergency Room H = Admitted to Hospital N = None
Example: CO Wells admitted to the emergency room:
Transcribe the letter E in the data box.
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