oppBJA-2018-13622-cfda16.833-cidBJA-2018-13982-instructions..pdf

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

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

The U.S. Department of Justice (DOJ), Office of Justice Programs (OJP), Bureau of Justice Assistance (BJA) is seeking applications for funding to address the issue and impact of unsubmitted sexual assault kits (SAKs) at law enforcement agencies. This program furthers the Department’s mission by improving: 1) state and local jurisdictions’ capacities to respond to violent crime; and 2) the functioning of the criminal justice system, including the investigation and prosecution of cases related to SAKs’ evidence and the collection of lawfully owed DNA.

National Sexual Assault Kit Initiative (SAKI) FY 2018 Competitive Grant Announcement

Applications Due: April 30, 2018

Eligibility

Eligible applicants for Purpose Areas 1, 2, 3, and 4 are state law enforcement agencies, units of local government, and federally recognized Indian tribal governments (as determined by the Secretary of the Interior), as well as governmental non-law enforcement agencies acting as their fiscal agents, and prosecutor’s offices.

For Purpose Area 2, eligible applicants are limited to small law enforcement agencies with less than 250 sworn officers or consortia of small law enforcement agencies.

An applicant who previously received an award under the National Sexual Assault Kit Initiative (SAKI) is eligible to apply for funding under all purpose areas included in this solicitation.

However, the applicant must:

• Clearly justify the need for additional funding support and detail how additional funding will enhance or expand its ability to address the issues associated with unsubmitted SAKs in its jurisdiction.

• Summarize progress and deliverables achieved under its current SAKI grant to date.

• Include in its application the plan and budget to complete an expanded inventory to include partially tested SAKs, if this has not already been done.

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

State or local crime laboratories may partner with the law enforcement agency or prosecutor’s office that serves as the lead applicant but are not eligible to be lead applicants for this award.

http://www.justice.gov/ http://www.ojp.gov/ https://www.bja.gov/ https://www.bja.gov/

BJA-2018-13622

Crime labs seeking funding solely for DNA backlog elimination resources are encouraged to apply for the applicable grants managed by the National Institute of Justice (NIJ). https://www.nij.gov/topics/forensics/lab-operations/evidence-backlogs/Pages/backlog-reduction-program.aspx.

BJA 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 and managing the entire program.

The lead applicant must demonstrate the ability and commitment to establish and lead a multidisciplinary effort to successfully address the issues with unsubmitted sexual assault kits (SAKs) in their jurisdiction. 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.

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 April 30, 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, in order 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 a day, 7 days a 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 may email the BJA contact identified below within 24 hours after the application deadline to request approval to submit its application. Additional information on reporting technical issues appears under “Experiencing Unforeseen Grants.gov Technical Issues” in the How To Apply section.

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

Application and Submission Information.

https://www.nij.gov/topics/forensics/lab-operations/evidence-backlogs/Pages/backlog-reduction-program.aspx https://www.nij.gov/topics/forensics/lab-operations/evidence-backlogs/Pages/backlog-reduction-program.aspx https://www.grants.gov/web/grants/register.html http://ojp.gov/funding/Apply/Grants-govInfo.htm https://www.grants.gov/web/grants/support.html mailto:support@grants.gov

For assistance with any unforeseen Grants.gov technical issues beyond an applicant’s control that prevent it from submitting its application by the deadline, or any other requirement of this solicitation, contact the National Criminal Justice Reference Service (NCJRS) Response Center:

toll-free at 800–851–3420; via TTY at 301–240–6310 (hearing impaired only); email grants@ncjrs.gov; fax to 301–240–5830; or web chat at https://webcontact.ncjrs.gov/ncjchat/chat.jsp. The NCJRS Response Center hours of operation are 10:00 a.m. to 6:00 p.m. eastern time, Monday through Friday, and 10:00 a.m. to 8:00 p.m.

eastern time on the solicitation close date.

Grants.gov number assigned to this solicitation: BJA-2018-13622

Release date: March 13, 2018 mailto:grants@ncjrs.gov https://webcontact.ncjrs.gov/ncjchat/chat.jsp

Contents A. Program Description

Overview Program-specific Information Goals, Objectives, and Deliverables Evidence-based Programs or Practices 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 Contacts 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 Appendix: Application Checklist

National Sexual Assault Kit Initiative (SAKI)

CFDA #16.833

A. Program Description

Overview SAKI supports the Department’s criminal justice priorities of reducing violent crime and supporting law enforcement officers and prosecutors by: (1) providing jurisdictions with resources to address sexual assault kits (SAKs) in their custody that have not been submitted to a forensic laboratory for testing with Combined DNA Index System (CODIS)-eligible DNA methodologies; and (2) improving investigation and prosecution in connection with evidence and cases resulting from the testing process. In addition, SAKI will provide investigators with assistance in how to more effectively question subjects, which could provide stronger investigative leads and build stronger prosecutorial cases, which in turn could help solve more crimes.

In addition to unsubmitted SAKS, SAKI includes partially tested SAKs as defined below. This program is not directed at untested kits that have been submitted to forensic labs for testing with CODIS-eligible DNA methodologies but are delayed for testing for longer than 30 days, e.g., as a result of a backlog of work in the laboratory. These are separate and distinct issues, and a separate program supports laboratory backlogs and capacity.2

Statutory Authority: Any awards under this solicitation would be made under statutory authority provided by a full-year appropriations act for FY 2018. As of the writing of this solicitation, the Department of Justice is operating under a short-term "Continuing Resolution";

no full-year appropriation for the Department has been enacted for FY 2018.

Program-specific Information SAKI, administered by BJA, is a competitive grant program that will provide funding to support multidisciplinary community response teams to inventory, track, and test previously unsubmitted SAKs (as defined below); produce necessary protocols and policies in support of improved coordination and collaboration among laboratories, police, prosecutors, and victim service providers; provide resources to address the sexual assault investigations and prosecutions that result from evidence and CODIS Hits produced by tested SAKs; and optimize victim notification protocols and services.

The causes of unsubmitted SAKs in the custody of law enforcement agencies can be attributed to a wide range of factors, including poor evidence tracking, outdated and ineffective investigation practices, misunderstanding of crime lab case acceptance policies, and lack of understanding among law enforcement entities about the value of testing kits in various types of cases.3 Research identified the need for more trained investigative and prosecutorial resources

2 For more information on resources related to untested kits, see:

http://nij.gov/topics/forensics/evidence/dna/pages/welcome.aspx.

3 Strom, Kevin J., Jeri Ropero-Miller, Shelton Jones, Nathan Sikes, Mark Pope and Nicole Horstmann, The 2007 Survey of Law Enforcement Forensic Evidence Processing (pdf, 82 pages), Final Report, http://nij.gov/topics/forensics/evidence/dna/pages/welcome.aspx to deal with the increased number of investigations and prosecutions resulting from testing a high number of previously unsubmitted SAKs, as well as the importance of linking victims to needed services. Thus, the critical needs around this issue extend well beyond testing kits and increasing crime lab capacity; SAKI also addresses the investigative and prosecutorial aspects of sexual assault cases that result from the testing of kits and the enhancement of the provision of victim services.

Definitions For purposes of this solicitation, the following are defined:

A. Sexual Assault Kit (SAK): A set of items used by medical personnel for the preservation of physical evidence collected from a person, living or deceased, following an allegation or suspicion of sexual assault.

B. Unsubmitted SAKs: SAKs that have not been submitted to a forensic laboratory for testing and analysis using CODIS-eligible DNA methodologies.

C. Inventory: A detailed and descriptive list of articles or items (for purposes of this solicitation, SAKs) containing information such as, but not limited to: item identifiers, quantity, and location of the item.

D. Tracking: The monitoring and accounting of SAKs through the course, or path, of their movement from collection through final disposition.

E. Reporting: Delivering a written, detailed report to the appropriate entity within the prescribed time period and with the applicable data provided.

F. Lawfully owed DNA from convicted offender: A DNA sample from a qualifying offender who should have their sample in CODIS (based on the type and time of the offense in relation to applicable state law), but from whom a sample has never been collected or submitted to a lab for testing.

G. Arrestee DNA: DNA collected from an individual following arrest or charging.

H. ViCAP: The Violent Criminal Apprehension Program (ViCAP) is a unit of the United States

Federal Bureau of Investigation responsible for the analysis of serial violent and sexual crimes, organizationally situated within the Critical Incident Response Group's (CIRG) National Center for the Analysis of Violent Crime (NCAVC).

I. Partially Tested SAK: A SAK that has only been subjected to serological screening, or that has previously been tested with non-CODIS eligible DNA methodologies (e.g. RFLP or DQAlpha). Partially tested kits are within the scope of the required inventory for SAKI.

Washington, DC: U.S. Department of Justice, National Institute of Justice, October 2009, 228415; and Harvard Kennedy School Webinar: Taking on the Challenge of Unsubmitted Sexual Assault Kits, October 31, 2014.

Essential Elements of a SAKI BJA Model Based on research findings and the recommendations of subject matter experts (SMEs), BJA implemented a national response model to address the issue of unsubmitted SAKs. The three essential elements of a comprehensive model to address the issues that underlie the problem of unsubmitted SAKs are as follows (hereafter referred to as the “BJA model”):

1. Inventory all unsubmitted SAKs in the jurisdiction’s possession (as defined above) regardless of where they are stored (police evidence facility, hospital, and other relevant locations). Track their progress from testing through final adjudication. Partially tested SAKs (as defined above) must be included in the inventory. It is important for sites to capture all SAKs in their jurisdiction that have never been subjected to testing with CODIS-eligible DNA methodologies.

2. Create a multidisciplinary working group that convenes regularly to address and identify the individual, organizational, and systemic factors that lead to high numbers of unsubmitted SAKs in the jurisdiction. Develop a comprehensive strategy to address the issue. This working group should be comprised of law enforcement (including superior officers and officers that respond to and investigate sexual assault complaints), forensic medical personnel (including sexual assault forensic examiners), forensic laboratory personnel, prosecutors, victim advocates (both system and community-based), and victim treatment providers. (Some jurisdictions may already have Sexual Assault Response Teams [SART] in place that could form the basis of the working group.)

3. Designate a site coordinator who will serve as the central point of contact for the SAKI team, with the full support of the host agency. This individual and the host organization will be responsible for fostering and coordinating communication among the team members and ensuring that the team is meeting its milestones. The site coordinator must also demonstrate a willingness and commitment to institutionalize systems, policies, and protocols developed by the working group to address the backlog of unsubmitted SAKs and prevent the problem from reoccurring. The site coordinator must be a strong and knowledgeable leader who can work closely with the lead agency to ensure a coordinated effort amongst all SAKI team members, and is able to leverage the skills of their organization to support the work. They must be able to foster solid working relationships and hold all entities accountable for their role within the SAKI effort. The site coordinator does not need to be a sworn law enforcement officer, but prior experience working with law enforcement agencies, prosecutors, and victim advocates will be highly advantageous.

Site-based applicants should be aware that the SAKI National Training and Technical Assistance (TTA) Program provides direct assistance to jurisdictions that receive funding through SAKI, as well as other jurisdictions engaged in reform efforts. The TTA provider is charged with assisting jurisdictions in establishing sustainable change in practices, protocols, and policies, as they relate to untested SAKs and sexual assault response. While each jurisdiction encounters unique challenges and circumstances, common issues are identified across all site grantees. BJA collaborated with the TTA provider to produce an online toolkit and resource guide to provide assistance and a centralized source of evidence-based practices and relevant TTA resources that can be leveraged by all jurisdictions grappling with the challenge of untested SAKs: https://sakitta.org/.

https://sakitta.org/

Program Requirements Applicants under Purpose Areas 1 and 2 will be required to track inventoried SAKs throughout the course of the award as part of their programmatic reporting requirements. Specifically, it will be expected that agencies will utilize an automated information technology system to track each SAK using an assigned unique identifier. The applicant must also identify the date upon which the state, tribe, or unit of local government would be barred by the applicable statute of limitations from prosecuting the person.

Grantees must attend the annual 2-day SAKI workshops for all recipient sites that will take place in the Washington, DC area. Key site team personnel (up to 3 representatives per site) will be expected to attend each annual meeting during the course of the grant period starting in 2019.

The workshops will focus on the elements of a successful project and key issues around DNA and unsubmitted SAK evidence.

Applicants must clearly delineate the amount of funding requested for SAK testing and associated review and certification activities. As this grant program is intended to assist jurisdictions in developing a comprehensive approach to the issue of unsubmitted SAKs and sexual assault case response, BJA does not anticipate funding projects that propose allocating more than 50 percent of their grant funds to SAK testing.

All DNA analyses conducted as a result of this program must be performed by a laboratory (government-owned or fee-for-service) that is accredited and currently undergoes external audits not less than once every 2 years. These audits must demonstrate that the laboratory maintains compliance with the DNA Quality Assurance Standards established by the Director of the Federal Bureau of Investigation. All eligible DNA profiles obtained with funding under this program must be entered into CODIS and, where applicable, uploaded to the National DNA Index System (NDIS).

BJA suggests that no profiles generated during the testing portion of this program be entered into any non-governmental DNA database.

All DNA analyses conducted and profiles generated during the testing portion of this program must be maintained pursuant to all applicable federal privacy requirements, including those described in 34 U.S.C. § 12592(b)(3).

ViCAP Effective FY 2018, successful applicants must also enter all “criteria cases” into ViCAP (before the end of the grant period) to increase the chances of identifying and apprehending violent serial offenders who pose a serious threat to public safety. Grantees should budget for 20 minutes per ViCAP entry, plus additional time for personnel to conduct searches for matches, follow-up on leads, etc. Funding for this activity can be supported under SAKI grants but must not exceed more than 10 percent of the total budget. Sites with high volumes of cases, who estimate requiring more than 10 percent of their award amount to meet this requirement, may be permitted by BJA to prioritize entry of cases into ViCAP based on the nature of the offender.

BJA has partnered with ViCAP, and ViCAP staff are available to assist sites in gaining entry into the system; provide training on optimal use of the database; and conduct crime analysis on specific offenders/cases upon request. Additionally, ViCAP has a designated SAKI analyst to directly assist our sites. For more information about ViCAP, including the definition of “criteria cases,” please refer to: https://www2.fbi.gov/hq/isd/cirg/ncavc.htm#vicap.

Goals, Objectives, and Deliverables Funding under this solicitation is intended to help law enforcement and prosecutors address all of the challenges associated with unsubmitted SAKs and reduce the number of unsubmitted SAKs in their jurisdictions. This will give them the evidence and tools to solve and reduce violent crimes associated with sexual assault, while achieving the long-term goal of improving the criminal justice response to cases of sexual assault. The goal of SAKI is the creation of a coordinated community response that ensures just resolution to these cases, whenever possible, through a victim-centered approach and to build jurisdictions’ capacities to prevent the development of conditions that lead to high numbers of unsubmitted SAKs. This holistic program provides jurisdictions with resources to address their unsubmitted SAKs issue, including support to inventory, test, and track SAKs; create and report performance metrics;

access necessary training to increase effectiveness in addressing the complex issues associated with these cases and engage in multidisciplinary policy development, implementation, and coordination; and improve practices related to investigation, prosecution, and victim engagement and support in connection with evidence and cases resulting from the testing process.

PURPOSE AREA 1: Comprehensive Approach to Unsubmitted Sexual Assault Kits.

Competition ID: BJA-2018-13982 Applicants must propose to implement a comprehensive approach to unsubmitted SAKs that includes all three elements of the BJA model, as outlined above. Funds may be requested to support other activities, as determined by the needs of the applicant’s jurisdiction. However, regardless of the proposed use of funds, applicants must describe how their project will include all three of the BJA model’s elements in their program plan.

1. The inventory must:

• Capture the following information (where possible):

o Total number of SAKs and the locations where SAKs are currently stored.

o Verification that all SAKs have been counted, not just particular categories of

SAKs (e.g., those dating back a certain amount of time or housed in a particular location).

o A written summary of the process used to conduct the inventory.

o Specific types of information associated with each SAK:

The overall range of dates for which SAKs have been in the site’s possession (e.g., 02/12/1974 – 12/15/2013)

The age of the victim The date of the offense The date of SAK collection The law enforcement incident number (or other unique identifier)

• Identify SAKs that may soon be affected by statute of limitations.

https://www2.fbi.gov/hq/isd/cirg/ncavc.htm#vicap

• Supplanting is not permitted. Site inventories cannot include any SAKs that were collected after the application date for this solicitation.

2. The multidisciplinary working group must meet regularly to:

• Eliminate or reduce the existing number of unsubmitted SAKs through increased testing initiatives and effect changes in practice, protocol, and organizational culture necessary to prevent unsubmitted SAKs from accumulating again in the future.

• Improve training to include cross-disciplinary training among group members to ensure all participants and disciplines are prepared to respond to the evidence emerging from unsubmitted SAKs in a victim-centered manner and improve the quality of responses to future reports of sexual assault. Such training should include instruction on the probative value of forensic evidence typically contained in SAKs, including its utility in developing investigatory leads, identifying suspects, and increasing the likelihood of successful prosecution of the case.

• Implement and/or establish evidence-based, victim-centered protocols and policies that address SAK evidence collection, testing, and tracking as well as victim engagement, notification, and support, including implementation of the National Protocol for Sexual Assault Medical Forensic Examinations (SAFE Protocol). Address the potential trauma to victims in reopening historic sexual assault cases to prevent re-victimization. Protocols should address the root causes that led to unsubmitted kit accumulation.

• Strengthen victim advocacy resources within the law enforcement agency and/or community-based advocacy organizations. This may include the creation of a victim advocate position within the agency, dedicated to victim engagement and notification, who can work with investigators as they pursue leads associated with evidence from previously unsubmitted SAKs. It could also include enhancing the crisis center’s capacity to serve an increased number of victims with the unique advocacy and justice needs that arise when previously unsubmitted SAKs are tested.

• Enter all “criteria cases” into ViCAP to increase the chances of identifying and apprehending violent serial offenders who pose a serious threat to public safety.

• Identify and allocate resources (laboratory review, investigatory, prosecutorial, and advocacy) required to produce and follow up on all valid evidence resulting from the testing process.

• Establish or implement processes that prioritize the investigation and adjudication of SAKI cases.

• Establish evidence tracking, case management, and victim notification mechanisms that enhance accountability, transparency, and information sharing among different system users. These systems must enhance the jurisdiction’s ability to manage and monitor the progress of kits through the evidence collection and testing process;

provide enhanced case management capabilities that assist in case assignment, tiered supervisory review, and electronic case tracking; and provide victims with access to information about their cases.

BJA’s minimum requirements for a tracking system are:

o Current number of SAKs collected in the jurisdiction, by calendar year.

o Unique SAK identification number, if available, from the SAK manufacturer.

o Law enforcement incident or case number associated with each kit.

o Current location of each kit (e.g., in evidence storage, at the crime laboratory, at another investigating agency, etc.).

o Submission and testing status of each kit (this should include dates of submission, to whom it was submitted, and whether testing is in progress or completed yes/no).

o Results of testing: DNA profile obtained, CODIS eligible Y/N, uploaded to CODIS (date of upload), CODIS hit returned, date and type of hit (to offender, to another case).

o Current status of the investigation case (open/active, closed, cleared by arrest, exceptional clearance) associated with each kit.

• Leverage the data gathered from the comprehensive testing process to improve the understanding of the nature and extent of the sexual assault problem in the community and to inform the creation of policy and programmatic interventions needed to respond.

3. The site coordinator must work on a regular basis with the BJA training and technical assistance (TTA) provider assigned to the site. The SAKI National TTA Program provides direct assistance to jurisdictions that receive funding through SAKI.

Applicants may also request funds in support of the following activities:

1. Testing of SAKs, to include outsourcing kits for testing and technical review of data/results, as well as tracking and reporting of performance metrics. If an applicant has already tested more than 75 percent of its SAKs, funding may be used to perform additional DNA testing including:

• Y-STR testing for samples that fail to yield a CODIS-eligible profile but where male DNA was detected and a known suspect sample is available for direct comparison; complex mixtures where known suspect samples are available for direct comparison; or where a jurisdiction has already implemented a local Y-STR suspect database.

• Testing of secondary evidence linked to SAKs that fail to yield probative results. This may include bedding, clothing, objects, and weapons.

2. Identifying the challenges related to outsourcing, technical review of data, and CODIS uploads of results produced by private labs, current in-house standard operating procedures that contribute to deficiencies in the DNA screening and testing process, and determining solutions to promote greater efficiency.

3. Providing additional assistance (not including laboratory equipment) that should include support for public labs’ implementation of sustainable, automated, and streamlined SAK processing procedures to ensure long-term capacity and efficiency.

4. Supporting personnel costs, including hiring and overtime, to allow adequate follow up for investigations and prosecutions that result from evidence related to testing SAKs. This may include the establishment of cold case or sexual assault investigation units and the hiring of specialized victim advocates or victim treatment providers to engage in victim-centered notification, communication, and support activities.

5. Purchasing of SAK evidence tracking systems, case management systems, or other technology (not including laboratory equipment) to enhance investigation and/or prosecution capacity in relation to these cases as part of a holistic approach, as well as training on the new systems.

6. Renovation of existing SAK storage facilities (e.g., installing temperature and/or humidity controls) to ensure optimal preservation of evidence. Funding for this component must not exceed $200,000.

7. Addressing issue of expiration of statute of limitations on SAKs; testing protocols;

investigation practices; and policies and procedures related to previously closed cases that are subsequently reopened as a result of new evidence obtained through the SAK testing process.

8. Supporting crime/intelligence analysis activities and resources to help identify perpetrators. Funding may be used for overtime of existing departmental crime/intelligence analysts to support SAKI-related investigations or fee for service/outsourcing of crime analysis. Crime analysis activities under this program must be performed for the primary purpose of suspect identification. For example, investigations may benefit, when DNA profiles of either persons with a single or serial offenses yield no CODIS Hits, by using crime analysis to leverage the non-forensic information that is available (such as suspect physical description, geographical locations of the sexual assaults, and timeline of serial or related offenses) that could help identify the suspect(s). As previously stated, award recipients must enter all “criteria cases” into ViCAP by the end of the grant period and should budget accordingly.

9. Establishing and supporting formal partnerships with researchers to assess the data, support strong implementation fidelity, and evaluate the implementation process and outcomes associated with the jurisdiction’s SAKI project. Such evaluation activity may focus on, but is not limited to, examination of the underlying causes of the jurisdiction’s unsubmitted sexual assault kit issue; the effect of improved training for law enforcement, prosecution and victim advocacy professionals on case clearance rates, prosecution outcomes, and victim participation and satisfaction with the criminal justice process.

PURPOSE AREAS 1 and 2 Initial Planning and Inventory Period and Special Withholding Condition Each award recipient will have an initial period to complete its inventory; plan for testing, tracking, and uploading to CODIS; and devise a strategy to use the evidence in investigation and prosecution. The SAKI working group must identify what contributed to, and continues to drive, the volume of unsubmitted SAKs, and work with all relevant entities to develop and implement new policies and procedures to eliminate the issues.

Award recipients will have access of up to 25 percent of the funds during the initial planning phase. (Note: additional funds may be released under special circumstances for this phase but will require further documentation and BJA review and approval.) It is expected that the inventory will be completed within the first 6 months of the grant being awarded.

Certification of having completed the inventory must be approved by BJA (in consultation with the TTA provider) in order for award recipients to gain access4 to the remainder of grant funds.

Award recipients will have the opportunity to provide additional feedback, clarification, and data regarding their inventory and plans, if requested by BJA and/or the TTA provider. However, applicants should be aware that if, after a reasonable exchange of information and feedback, an inventory is not completed or the overall implementation plan for the SAKI strategy may not receive BJA approval, award recipients may not receive access to the remaining grant funds or an extension of their grant award.

During review of the implementation plan, award recipients will have an opportunity to address any issues or concerns in the revised implementation strategy. In this strategy, award recipients must ensure that the core elements of SAKI are in place; that they have collected appropriate data; and that there is a strong research or evidence base for proposed place-based programs or interventions.

If an unsubmitted SAK inventory has already been completed by the applicant jurisdiction, the applicant must provide information regarding the results of the inventory in the proposal and request funding for the tracking, multidisciplinary team, and site coordinator, as necessary. If an applicant has already completed an inventory of existing unsubmitted SAKs, certification of this inventory will be required prior to the release of additional funds. This certification requirement may be met through the inclusion of a certification letter signed by the applicant’s chief executive officer. The certification letter should detail the results of the inventory and be included as an attachment with the application. BJA reserves the right to impose special conditions requiring revisions to the inventory and plan before approval and release of all funds.

Program Requirements Award recipients must, on a monthly basis, report the number of SAKs reviewed and catalogued by working group members—including local, state, federal, and tribal law enforcement partners—to BJA via the TTA provider. BJA also encourages award recipients to make their aggregate inventory and tracking data available to the public to increase the transparency of their SAK testing and disposition processes.

PURPOSE AREA 2: SAKI for Small Agencies. Competition ID: BJA-2018-13983 Under Purpose Area 2, applicants are expected to achieve the overall goals of SAKI but do not require extensive funding to support the three elements of the BJA model. Applicants seeking funding under Purpose Area 2 must demonstrate efforts to form or maintain a multidisciplinary approach to addressing the SAK-related issues in their jurisdiction; establish partnerships where possible; ensure the coordination function is completed; and discuss how funding will help provide a sustainable solution to the problems associated with unsubmitted SAKs in the jurisdiction.

Applicants will need to establish:

• A point of contact (POC) who will coordinate activities with all key stakeholders.

4 Funds are withheld via a special condition on the award. Once BJA approves the implementation plan in writing, a Grant Adjustment Notice (GAN) will be processed in GMS to formally release the grant funds.

• A small working group comprising of a prosecutor, investigator, and community advocate (at a minimum).

To qualify for SAKI funding, applicants must propose to implement a comprehensive sexual assault response program plan that includes all three elements of the BJA model: (1) inventory;

(2) creation of a multidisciplinary working group; and (3) designated site coordinator. Funds may be requested to support the three major elements or for specific and discrete elements as determined by the applicant jurisdiction’s needs. However, regardless of the proposed use of funds, applicants must describe how their projects will include all three of the BJA model’s elements in their program plan, even if some will be addressed with other resources. For example, sites may request funding to:

• Complete an inventory

• Test kits

• Enhance an evidence tracking system

• Provide victim advocacy and victim centered notification

• Training

• Support overtime for investigators

See additional information on planning and a special withholding condition.

PURPOSE AREA 3: Expansion of DNA Databases to Assist with Sexual Assault Investigations and Prosecutions: Collection of Lawfully Owed DNA from Convicted Offenders and Arrestee DNA Collections. Competition ID: BJA-2018-13984 In accordance with applicable state law and for the purpose of resolving sexual assault cases associated with previously unsubmitted SAKs, Purpose Area 3 addresses the identification, collection, and DNA profiling of samples from convicted offenders who should have samples in CODIS, but from whom samples have never been collected or submitted to a lab for testing.

BJA views the expansion of DNA databases as Phase 2 of a comprehensive approach to addressing sexual assault. As such, Purpose Area 3 should be undertaken only after a jurisdiction has made significant progress in eliminating its backlog of unsubmitted SAKs and made other significant policy and programmatic improvements. Specifically, applicants must provide certification that an inventory has been completed and documentation that the testing of previously unsubmitted kits identified in their jurisdictions has been completed or is near completion.

Applications are solicited to support activities associated with the collection of lawfully owed DNA samples (see definition above). DNA collection must be targeted to offenders who have a likelihood of being linked to cases associated with the jurisdiction’s previously unsubmitted SAKs. For example, such individuals may have prior convictions for sex offenses or may have sex-related crimes documented in their criminal history. Upon completing the census of convicted offenders from whom DNA has not been collected, award recipients should review each person’s criminal history and prioritize collection from any individual previously arrested, convicted, or subject to investigation for crimes related to sexual assault.

An expanded DNA database enables law enforcement to better identify persons convicted of violent and sex offenses who are involved in unsolved crimes, and who may reoffend after release.5 Typically, eligible convicted offenders from whom DNA can lawfully be collected include those arrested, facing charges, or convicted of murder, sexual abuse, kidnapping, or other qualifying state offenses (see, e.g., The DNA Analysis Backlog Elimination Act of 2000:

H.R. 4640, 34 USCA § 40701 et seq.). While it is crucial that unsubmitted SAKs are tested and all eligible profiles uploaded to CODIS, cases will remain unsolved unless the evidence profiles can be matched against convicted offenders’ profiles. The absence of lawfully owed DNA samples in CODIS will likely result in missed opportunities to identify the perpetrators of crimes, including sexual assaults. For example, Michigan demonstrated the importance of lawfully owed DNA collections in 2011 when its Department of Corrections collected samples from 5,000 prisoners who had slipped through the cracks. As a result, subsequent DNA hits in CODIS were linked to 74 crimes, including 5 murders, 23 rapes, and 3 armed robberies.

For sites that have existing arrestee DNA collection laws, SAKI funds can be used to review, improve, and implement optimal collection protocols to ensure sample collection policies are being adhered to and that samples are being obtained from all eligible individuals for the purposes of CODIS upload.

An applicant does not have to be an existing SAKI award recipient. But the applicant must clearly demonstrate that its jurisdiction requires resources to support collection of lawfully owed DNA from convicted offenders and/or arrestees to facilitate the resolution of unsolved sexual assault cases linked to previously unsubmitted or untested SAKs.

An applicant’s proposed plan under this purpose area must include the following elements:

• Census of Convicted Offenders: Applicants must commit to the performance of a census to identify eligible convicted offenders who could be linked with the jurisdiction’s previously unsubmitted SAKs and who should have samples in CODIS, but from whom samples have never been collected or submitted to a lab for testing. Determining if a convicted person has a qualifying event that will allow his or her DNA profile to be uploaded to CODIS hinges on when the person was convicted, for what charge, and whether a DNA sample was required from the person on the date of conviction. Collection of DNA from convicted offenders under SAKI must be done in accordance with state law, including any relevant state statutes of limitations on collection, and award recipients must identify an attorney from the Attorney General’s Office, District Attorney’s office, or Criminal Justice Agency familiar with the state’s DNA collection laws to provide legal advice for the project. If the award recipient also wishes to upload DNA from deceased convicted offenders to CODIS, it will need to cross-reference conviction information from the time of an inmate’s or parolee’s death with the law at the time of their death, and a court order may be required.

5 The focus of this program differs from NIJ’s DNA Capacity Enhancement and Backlog Reduction Program, which funds states and units of local government with existing crime laboratories that conduct DNA analysis to process, record, screen, and analyze forensic DNA and/or DNA database samples, and to increase the capacity of public forensic DNA and DNA database laboratories to process more DNA samples, thereby helping to reduce the number of forensic DNA and DNA database samples awaiting analysis.

• Census Details: The census may cover the applicant’s specific jurisdiction, the state, or other defined area, but the scope and process of the census must be detailed as follows:

o Identify the specific and appropriate agency that will conduct the census. This agency may be the state level Department of Corrections or Bureau of Prisons, Crime Laboratory, State or Local Criminal Justice Agency, or other entity with the appropriate authority, expertise, and data access.

o Provide an estimated timeframe for the completion of the census, as well as describe how the agencies will coordinate their participation in this DNA collection initiative.

o Describe the census methods that will be used to collect this information, the data resources that will be used to inform the census, and the demographic and offense-related data to be collected as part of the census process.

• DNA Collection Plan: In coordination with a legal advisor, applicants must formulate a DNA collection plan that will target the collection of DNA from convicted offenders who have a high likelihood of being linked to cases associated with the jurisdiction’s unsubmitted SAKs.

As stated above, applicants should prioritize collection from offenders previously arrested, convicted, or subject to investigation for crimes related to sexual assault and from whom “owed” DNA samples have not been collected. The DNA collection plan should further describe how the site will prioritize collection efforts among offenders in prisons and jails, offenders under community supervision, others residing in the community with no supervision, and in rare cases, deceased individuals who might be linked to cases associated with previously unsubmitted SAKs. The plan should also describe the process for ensuring that the collection of DNA from each individual is authorized under existing law.

• Existing Policies and Protocols: Applicants must describe any existing protocols, or describe plans for developing a protocol, for notifying victims if and when lawfully owed DNA collected from convicted offenders identifies a potential suspect or links their case to others, and provide support and services to victims.

• Identification of the SAKI Convicted Persons DNA Collection Coordinator: The applicant must designate a specific individual as the SAKI convicted persons DNA collection coordinator and describe how this individual will work with the existing SAKI working group, local SART, etc. to ensure coordination of efforts, plan and perform DNA collections from convicted offenders to inform investigations and prosecutions of cases resulting from evidence provided by previously unsubmitted SAKs, and access criminal records and other sensitive law enforcement records. The collection coordinator will be responsible for overseeing all aspects of the project, including the census of convicted offenders;

coordination with sexual assault investigators to prioritize convicted persons DNA collections; coordination of convicted persons DNA testing and CODIS upload; monitoring law enforcement agencies’ adherence to protocol(s) related to victim notification;

coordinating victim services; tracking status of CODIS Hits and subsequent investigations and prosecutions that result; and reporting performance measures to BJA.

• Prior Backlog Data: Applicants should include data related to previous SAK backlog elimination efforts or if they currently have a SAKI project, include the number of SAK-related CODIS Hits in relation to the number of CODIS-eligible profiles uploaded to CODIS in total from tested SAKs, as well as information related to indictments or prosecutions associated with the SAKI project activities (where applicable). Please note that eligible applicants for Purpose Area 3 are not excluded from also applying to Purpose Areas 1 or 2 under this solicitation.

• Arrestee DNA Collection Assessment: For sites that have existing arrestee DNA collection laws, SAKI funds can be used to review, improve, and implement optimal collection protocols to ensure sample collection policies are being adhered to, and that samples are being obtained from all eligible individuals for the purposes of CODIS upload.

Applicants seeking funds for these activities must provide information regarding current policies and protocols; estimated numbers of samples that are not being collected on an annual basis due to inadequacies with protocols, staffing, and resources; and a commitment from key stakeholders to address and correct these issues. Such stakeholders should include: law enforcement, booking station personnel, local/state crime laboratory, and prosecutors.

Applicants can also request funds in support of the following activities:

• Establish memoranda of understanding, subcontracts, or other required agreements with relevant participant agencies and organizations to execute the lawfully owed DNA collection initiative.

• Collect, test, and upload to CODIS lawfully owed DNA samples from those convicted offenders who are confirmed as not in CODIS and who could be connected with the applicant’s unsubmitted and untested SAKs, including offenders currently incarcerated, collection from parolees, and testing of autopsy samples and exhumations as needed for deceased offenders (with proper court orders/authorizations). Award recipients will need to separately track the number of CODIS Hits that occur for convicted person DNA profiles.

• Support training, travel, and overtime for relevant personnel related to the collection and testing of convicted persons’ DNA samples. For example, such costs might include travel to prisons throughout the state or travel to collect DNA from parolees.

• Support modification of the SAK evidence tracking system for arrestees’ and/or convicted persons’ samples. It is expected that some applicants may need to modify their existing SAKI/SAK evidence tracking systems for the purposes of tracking the collection, testing, CODIS upload, CODIS Hits, and subsequent investigations and prosecutions. Applicants must detail the necessary modifications for their tracking systems and the estimated cost and time frame for completion.

The testing of arrestees’ and/or convicted persons’ samples may be outsourced to an accredited laboratory or tested by the award recipient’s local or state lab.

Award recipients must also work with BJA’s SAKI TTA provider, which will provide assistance with regard to conducting the census and performing lawfully owed DNA collections and/or optimization of arrestee DNA collection protocols. The TTA provider will work with Purpose Area 3 award recipients to compile and issue a final summary report pertaining to the achieved outcomes.

PURPOSE AREA 4: Investigation and Prosecution of Cold Case Sexual Assaults.

Competition ID: BJA-2018-13985 Applications are solicited to support the investigation and prosecution of high volumes of sexual assault cases that have resulted from testing backlogs of previously unsubmitted SAKs.

This funding is intended as enhancement funds for applicants that can clearly demonstrate their jurisdictions have previously addressed, or are currently effectively addressing, the major issues associated with unsubmitted SAKs. Applicants do not have to be existing SAKI award recipients.

Sites can apply to fund the following:

• Personnel costs, including hiring and overtime, to allow adequate follow up for investigations and prosecutions that result from evidence related to testing SAKs (including investigators, prosecutors, crime analysts, and administrative personnel).

o This may also include the establishment of…