PKG00258616-instructions.pdf

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

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

National Sexual Assault Kit Initiative (SAKI) FY 2020 Competitive Grant Solicitation

CFDA #16.833

Grants.gov Solicitation Number: BJA-2020-17018

Solicitation Release Date: February 27, 2020

Application Deadline: 11:59 p.m. eastern time on April 27, 2020

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 supports 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 through the investigation and prosecution of cases resulting from SAK evidence and the collection of lawfully owed DNA.

This solicitation incorporates the OJP Grant Application Resource Guide by reference. It provides guidance to applicants on how to prepare and submit applications for funding to OJP. If this solicitation expressly modifies any provision in the OJP Grant Application Resource Guide, the applicant is to follow the guidelines in this solicitation as to that provision.

Eligibility (Who may apply):

The following entities are eligible to apply for Purpose Areas 1, 2, 3, and 4:

• State law enforcement agencies

• Units of local government

• Federally recognized Indian tribal governments

• Governmental non-law enforcement agencies acting as their fiscal agents

• Prosecutor’s offices

The following entities are elibliy to apply for For Purpose Area 2:

• Small law enforcement agencies or consortia of small law enforcement agencies

Metropolitan statistical areas and divsions may be considered. However, priority will be given to rural and tribal law enforcement agencies (especially those who are not currently receiving assistance under an existing state-wide or county-wide SAKI grant held by another agency).

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

however, the applicant must:

http://www.justice.gov/ https://ojp.gov/ https://www.bja.gov/ https://www.bja.gov/ https://www.ojp.gov/funding/Apply/Resources/Grant-App-Resource-Guide.htm https://Grants.gov

• Clearly justify the need for additional funding support and detail how additional funding will enhance or expand its ability to address 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.

BJA will consider 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). 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. 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. For additional information on subawards, see the OJP Grant Application Resource Guide.

The lead applicant must demonstrate the ability and commitment to establish and lead a multidisciplinary effort to successfully address the issues with unsubmitted SAKs in its jurisdiction. Under this solicitation, only one application by any particular applicant entity will be considered.

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.

Contact information For technical assistance with submitting an application, contact the Grants.gov Customer Support Hotline at 800–518–4726 or 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 must email the 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 (Grants.gov) section in the OJP Grant Application Resource Guide.

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.

BJA-2020-17018

https://www.ojp.gov/funding/Apply/Resources/Grant-App-Resource-Guide.htm#subawardInfo https://www.ojp.gov/funding/Apply/Resources/Grant-App-Resource-Guide.htm#subawardInfo https://www.grants.gov/web/grants/support.html mailto:support@grants.gov https://www.ojp.gov/funding/Apply/Resources/Grant-App-Resource-Guide.htm#howToApply mailto:grants@ncjrs.gov https://webcontact.ncjrs.gov/ncjchat/chat.jsp https://webcontact.ncjrs.gov/ncjchat/chat.jsp mailto:grants@ncjrs.gov https://Grants.gov https://Grants.gov https://Grants.gov https://Grants.gov https://Grants.gov mailto:support@grants.gov https://www.grants.gov/web/grants/support.html

Deadline Details 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 27, 2020.

To be considered punctual, 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.

An applicant must use the Add Attachment button to attach a file to its application. Do not click the paperclip icon to attach files. This action will not attach the files to the application. After adding an attachment, select the View Attachment button to confirm you attached the correct file. To remove the file, select the Delete Attachment button.

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

For additional information, see the How to Apply (Grants.gov) section in the OJP Grant Application Resource Guide.

BJA-2020-17018

https://www.grants.gov/web/grants/register.html https://ojp.gov/funding/Apply/Grants-govInfo.htm https://www.ojp.gov/funding/Apply/Resources/Grant-App-Resource-Guide.htm#howToApply https://www.ojp.gov/funding/Apply/Resources/Grant-App-Resource-Guide.htm#howToApply https://Grants.gov https://Grants.gov https://Grants.gov https://Grants.gov https://Grants.gov https://www.grants.gov/web/grants/register.html

Contents A. Program Description

Overview

Program-specific Information

Goals, Objectives, and Deliverables

OJP Priority Areas

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 Match 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

C. Eligibility Information

D. Application and Submission Information

What an Application Should Include

How To Apply (Grants.gov)

Registration and Submission Steps

E. Application Review Information

Review Criteria

Review Process

F. Federal Award Administration Information

Federal Award Notices

Administrative, National Policy, and Other Legal Requirements

Information Technology (IT) Security Clauses

General Information About Post-federal Award Reporting Requirements

G. Federal Awarding Agency Contact(s)

H. Other Information

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

Provide Feedback to OJP

Appendix A: Application Checklist

BJA-2020-17018

National Sexual Assault Kit Initiative (SAKI)

CFDA #16.833

A. Program Description Overview SAKI supports the Department’s priorities of reducing violent crime and supporting law enforcement officers and prosecutors by:

(1) providing jurisdictions (including rural and tribal) with resources to address sexual assault kits in their custody that have not been submitted to a forensic laboratory for testing by Combined DNA Index System (CODIS)-eligible DNA methodologies;

(2) improving investigation and prosecution in connection with evidence and cases resulting from the testing process; and

(3) providing sites with resources to collect DNA samples from qualifying individuals who should have a 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 laboratory for testing.

In addition to unsubmitted SAKs, SAKI addresses partially tested SAKs, as defined below, and untested evidence associated with sexually motivated homicides. 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, for example, as a result of a laboratory backlog. A separate program addresses laboratory backlogs and capacity.1

Statutory Authority: FY20(BJA - Sexual Assault Kit Initiative) Pub. L. No. 116-93, 133 Stat 2317, 2408

Program-specific Information SAKI provides funding to support multidisciplinary community response teams to inventory, track, and expeditiously test previously unsubmitted SAKs (as defined below); collect and test lawfully owed DNA from offenders/arrestees; produce necessary protocols and policies to improve 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.

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.

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

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

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

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(s).

D. Tracking: The monitoring and accounting of SAKs through the course of their movement from collection to 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 a 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. CODIS: The Combined DNA Index System and the generic term used to describe the FBI's program of support for criminal justice DNA databases as well as the software used to run these databases.

I. NDIS: The National DNA Index System, and one part of CODIS, containing the DNA profiles contributed by federal, state, and local participating forensic laboratories. All 50 states, the District of Columbia, the federal government, the U.S. Army Criminal Investigation Laboratory, and Puerto Rico participate in NDIS.

J. ViCAP: The Violent Criminal Apprehension Program, a unit of the FBI responsible for the analysis of serial violent and sexual crimes, situated within the Critical Incident Response Group's (CIRG) National Center for the Analysis of Violent Crime (NCAVC).

K. 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.

L. Familial DNA Searching: An intentional or deliberate search of the DNA database conducted after a routine search for the purpose of potentially identifying close biological relatives of the unknown forensic sample associated with the crime scene profile.

M. DNA Phenotyping: The prediction of physical appearance from DNA.

N. Forensic Genealogy: The combination of genetic analysis with traditional historical and genealogical research to study family history. For forensic investigations, it can be used to identify remains by tying the DNA to a family with a missing person or to point to the likely identity of a perpetrator.

BJA-2020-17018

Essential Elements of a SAKI BJA Model Based on research findings and the recommendations of subject matter experts, BJA created and is implementing a national response model to address the issue of unsubmitted SAKs. The three essential elements of that model are:

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 must be included in the inventory. It is important for sites to capture all SAKs in their jurisdictions 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 backlog and provide uniform assistance to all agencies that fall within the grantee’s jurisdiction (including those in rural and tribal areas in state-wide and county-wide sites).

This working group should comprise law enforcement personnel (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 [SARTs] 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 lead agency. This individual and the lead 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 recurring. The site coordinator must be a strong and knowledgeable leader who can work closely with the lead agency to ensure a coordinated effort among all SAKI team members and is able to leverage the skills of their organization to support the work. The coordinator must be able to foster solid working relationships and hold all entities accountable for their roles 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 producing 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 current 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. For more information, visit: https://sakitta.org/.

BJA-2020-17018

https://sakitta.org/

Effective in FY 2020, award recipients will also receive training regarding female genital mutilation (FGM) in the form of webinars, briefings, etc. Award recipients will need to ensure checklists are in place to act accordingly should a victim present with signs of FGM. To that end, the SAKI TTA provider will provide resources that encourage a nonjudgmental, trauma-informed, and victim-centered stance to encourage these individuals to report any sexual or interpersonal violence. Law enforcement and prosecution entities will also be provided with a brief and/or case law digest to include considerations or statutory complications that may arise from data collection related to FGM on Sexual Assault Nurse Examiner (SANE) reports.

Program Requirements SAKs Tracking Award recipients under Purpose Areas 1 and 2 will be required to track inventoried SAKs throughout the course of the award. Specifically, agencies will be expected to utilize an automated information technology system to track each SAK using an assigned unique identifier. (Note: Several electronic tracking systems designed specifically for SAKI cases have been established and are available at no cost to all SAKI award recipients.) The SAKI TTA provider can facilitate the sharing and implementation of these systems with any interested sites. The applicant must also identify the date on which the state, tribe, or unit of local government would be barred by the applicable statute of limitations from prosecuting an individual.

Training Award recipients must attend the annual 2-day SAKI workshops for all recipient sites that will take place in the Washington, D.C., area. Key site team personnel (up to three representatives per site) will be expected to attend each annual meeting during the course of the grant period (starting in 2021), and applicants should budget accordingly. The workshops will focus on the elements of a successful project and key issues around DNA and unsubmitted SAK evidence.

DNA Analyses Applicants must clearly delineate the amount of funding requested for SAK testing and associated technical review and CODIS upload 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 FBI. Sites must use laboratories that can test SAKs in an expeditious manner so as to meet the goals of SAKI within the grant period.

All eligible DNA profiles obtained with funding under this program must be entered into CODIS and, where applicable, uploaded to NDIS.BJA suggests that no profiles generated during the testing portion of this program be entered into any nongovernmental DNA database (with the exception of forensic genealogy testing).

Effective in FY 2020, award recipients utilizing SAKI funds for forensic genealogy testing must adhere to the United States Department of Justice Interim Policy Forensic

Genealogical DNA Analysis and Searching available at:

https://www.justice.gov/olp/page/file/1204386/download. In accordance with Section IX, SAKI award recipients must collect and report the following metrics to BJA:

• The type of crime investigated

• Whether forensic genetic genealogical DNA analysis (FGG)/forensic genetic genealogical DNA analysis and searching (FGGS) was conducted on a forensic sample or a reference sample

• The type of forensic sample subjected to FGG, and a description of the total amount, condition, and concentration of that sample (e.g., single source, mixed profile, degradation status, etc.)

• Whether FGG analysis resulted in a searchable profile

• The identity of the vendor laboratory used to conduct FGG and the genetic genealogy service(s) used to search the FGG profile

• Whether the investigation resulted in an arrest that was based, in part, on the use of FGGS

• The total amount of federal funding used to conduct FGG/FGGS in each case Note that requirements may slightly change in accordance with future iterations of the FGGS policy. SAKI award recipients will be updated should changes occur that impact practices and/or performance metrics.

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 Award recipients under Purpose Areas 1, 2, and 4 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. Award recipients should budget for 60 minutes per ViCAP entry, plus additional time for personnel to conduct searches for matches, follow up on leads, etc. Funding for this activity can come from SAKI grants but must not exceed more than 10 percent of the total budget. Applicants with high volumes of cases that 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. Further details about ViCAP entry are:

• Cases submitted into the ViCAP database must meet the ViCAP criteria requirements. ViCAP cases include:

o Homicides (and attempts) that are known or suspected to be part of a series and/or are apparently random, motiveless, or sexually oriented o Sexual Assaults that are known or suspected to be part of a series and/or are committed by a stranger o Missing Persons where the circumstances indicate a strong possibility of foul play and the victim is still missing

BJA-2020-17018

https://www.justice.gov/olp/page/file/1204386/download o Unidentified Human Remains where the manner of death is known or suspected to be homicide

• Only one case incident can be submitted per case entry. As an example, if an offender has committed three separate sexual assaults, each assault will be a separate entry into ViCAP.

• Award recipients must ensure all ViCAP questions are appropriately answered and, when available, provide additional detail. The greater the detail the better.

• Information in ViCAP must be comprehensive. The narrative section should be detailed but succinct. Narrative information can be copied and pasted directly from an agency’s incident report.

• Award recipients should enter all solved and unsolved ViCAP criteria cases. A solved case could very well link to another agency’s unsolved case.

BJA has partnered with the FBI and its ViCAP team to support SAKI. FBI 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. For more information about ViCAP, 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 in order to 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 sexual assault.

PURPOSE AREA 1: Comprehensive Approach to Unsubmitted Sexual Assault Kits. Competition ID: BJA-2020-17019

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

The age of the victim The date of the offense

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

The date of SAK collection The law enforcement incident number (or other unique identifier)

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

• Not permit supplanting. Site inventories cannot include any SAKs that were collected after the application date for this solicitation.

• Be completed and certified by BJA before SAKs can be submitted for testing using SAKI funding.

2. The multidisciplinary working group must meet regularly to:

• Eliminate or reduce the existing number of unsubmitted SAKs through increased testing 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 that 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 prosecutions.

• 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 A National Protocol for Sexual Assault Medical Forensic Examinations (https://www.ncjrs.gov/pdffiles1/ovw/241903.pdf). The group must also address potential trauma for victims when 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 a 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

BJA-2020-17018

https://www.ncjrs.gov/pdffiles1/ovw/241903.pdf 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) o Submission and testing status of each kit (including dates of submission, to whom it was submitted, and whether testing is in progress or completed) o Results of testing: DNA profile obtained, CODIS-eligible, 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 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 torespond.

3. The site coordinator must work on a regular basis with the BJA TTA provider assigned to the site.

Applicants may also request funds to support the following activities:

- Testing of SAKs and related evidence, 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; for complex mixtures where known suspect samples are available for direct comparison; or when 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, weapons, etc.

- Familial DNA searches (if legally allowed in the applicant’s state) of DNA profiles attributed to violent serial offenders associated with SAK evidence.

The profile of the unknown offender must have previously been uploaded to CODIS but has yet to generate a hit associated with a known suspect in the database. Funds can support costs associated with overtime for lab personnel, Y-STR testing to evaluate potential familial matches, and investigative activities associated with the location, collection, and analysis of suspect DNA samples for comparison/identification of the actual perpetrator.

- Forensic genealogy searches of DNA profiles attributed to violent serial offenders associated with SAK evidence. The profile of the unknown offender must have previously been uploaded to CODIS but has yet to generate a hit associated with a known suspect in the database. Funds can be used: to outsource forensic genealogy searches; for laboratory personnel overtime pay; for Y-STR testing to evaluate potential familial matches; or for investigative activities associated with the location, collection, and analysis of suspect DNA samples for comparison/identification of the actual perpetrator. Familial DNA searches (if legally allowed in the applicant’s state) must also be performed to try and identify a suspect before pursuing forensic genealogy searches.

- Phenotyping/ancestral analysis of DNA profiles attributed to violent serial offenders associated with SAK evidence. The profile of the unknown offender must have previously been uploaded to CODIS but has yet to generate a hit associated with a known suspect in the database. Funds can be used to outsource phenotyping/ancestral analysis or to support investigative activities associated with leads generated as a result of the testing. Familial DNA searches (if legally allowed in the applicant’s state) must also be performed to identify a suspect before pursuing phenotyping/ancestral analysis.

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

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

- 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.

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

- 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.

- Addressing expiration of statutes of limitations on SAKs; testing protocols;

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

- Supporting crime/intelligence analysis activities and resources to help identify perpetrators. Funding may be used for overtime pay 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 persons with a single or serial offenses yield no CODIS hits, but by using crime analysis to leverage available nonforensic information (such as a suspect’s physical description, locations of the sexual assaults, and timeline of serial or related offenses), the suspect(s) could be identified. As previously stated, award recipients must enter all criteria cases into ViCAP by the end of the grant period and should budget accordingly.

- Establishing and supporting formal partnerships with researchers to assess the data, prioritize cases to investigate and prosecute, 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 backlog; 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.

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 (including rural and tribal agencies).

Competition ID: BJA-2020-17020

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 address SAK-related issues in their jurisdiction; establish partnerships where possible; ensure that the SAKI activities are effectively coordinated; and discuss how funding will help provide a sustainable solution to problems associated with unsubmitted SAKs in the jurisdiction. Priority will be given to rural and tribal law enforcement agencies (especially those who are not currently receiving assistance under an existing state-wide or county-wide SAKI grant held by another agency).

Applicants will need to establish:

- A point of contact who will coordinate activities with all key stakeholders

- A small working group comprising a prosecutor, investigator, and community advocate

(at a minimum) To qualify for SAKI funding under Purpose Area 2, applicants must propose to implement a sexual assault response program plan that ideally includes all three elements of the BJA model:

(1) inventory; (2) creation of a multidisciplinary working group (BJA does acknowledge that the creation of a robust multidisciplinary working group may not be feasible for all smaller jurisdictions); and (3) appointment of a 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 in their program plan how their projects will include all three BJA model elements, 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

- Provide training

- Conduct investigations or prosecution

- Support overtime for investigators

- Enter criteria cases into ViCAP. Costs associated with entry, analysis, and investigations can be covered under this award Review the additional information on planning and a special withholding condition below.2

Initial Planning and Inventory Period and Special Withholding Condition for Purpose Areas 1 and 2 Each award recipient will have an initial period to complete its inventory; plan for testing, tracking, and uploading entries to CODIS; and devise a strategy to use the evidence in investigations and prosecutions. The SAKI working group must identify what contributed to, and continues to drive, the backlog of unsubmitted SAKs, and work with all relevant entities to develop and implement new policies and procedures to prevent their recurrence.

Award recipients will have access to 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 award.

Certification of inventory completion must be approved by BJA (in consultation with the TTA provider) in order for award recipients to gain access3 to the remainder of grant funds. Award recipients will have an 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 feedback, an inventory is not completed or the overall implementation plan for the SAKI strategy does not receive BJA approval, award recipients may not receive access to their remaining grant funds or an extension of their grant award.

During review of the implementation plan, award recipients will have an opportunity to address issues or concerns in the revised implementation 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 the proposed place-based programs or interventions.

2 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 the Grants Management System to formally release the grant funds.

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 funds.

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-2020- 17021

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 on page 6). 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 sexual offenses who are involved in unsolved crimes, and who may reoffend after release.3 Typically, eligible convicted offenders from whom DNA can

3 The focus of this program differs from the National Institute of Justice’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.

lawfully be collected include those arrested, facing charges, or convicted of murder, sexual abuse, kidnapping, or other qualifying state offenses (see The DNA Analysis Backlog Elimination Act of 2000: H.R. 4640, 34 USCA § 40701 et seq.). While it is crucial that unsubmitted SAKs be tested and all eligible profiles uploaded to CODIS, cases will remain unsolved unless 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 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 more information, visit:

http://www.michigan.gov/corrections/0,4551,7-119--264812--,00.html.

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 conducting 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 their DNA profile to be uploaded to CODIS hinges on the conviction date, on what charge, and whether a DNA sample was required from them 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 to do so.

• Census Details: A census may cover the applicant’s specific jurisdiction, 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, a state or local criminal justice agency, or other entity with the appropriate authority, expertise, and data access.

BJA-2020-17018

http://www.michigan.gov/corrections/0,4551,7-119--264812--,00.html 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…