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DRAFT LAB SURVEY
TRAINING

    1. In the past 48 months, for which of the following groups (if any) did the crime laboratory conduct or otherwise participate in regularly scheduled DNA training?   Please check all that apply, and include how many times these trainings are conducted per year.  
			
___ None							          # Per Year
___ Law Enforcement					­­­­­­­­­­­­­­_________________
___ Prosecutors						_________________
___ Court justices						_________________
___ Public Defenders, or other defense attorneys	_________________
___ Victim Advocates					_________________
___ SANE / SART personnel				_________________
___ Other (please describe) ______________		_________________
____________________________________________


    2. Has the crime laboratory ever participated in DNA training for other criminal justice professionals?  Please check all that apply.
___ None				__ Public Defenders, or other defense attorneys
___ Law Enforcement		__ Victim Advocates
___ Prosecutors			__ SANE / SART personnel
___ Court justices			__ Other (please describe) _____________________
					___________________________________________

    3. What type of additional DNA evidence training is needed by law enforcement?
___ Identification of possible biological evidence
___ Evidence collection techniques
___ Evidence submission limitations (understanding probative value)
___ Evidence submission protocols
___ Understanding of analysis results
___ Other (please briefly explain) __________________________________________
______________________________________________________________________
______________________________________________________________________


    4. What type of additional DNA evidence training is needed by prosecutors?
___ Identification of possible biological evidence
___ Evidence collection techniques
___ Evidence submission limitations (understanding probative value)
___ Evidence submission protocols
___ Understanding of analysis results
___ Other (please briefly explain) __________________________________________
______________________________________________________________________
______________________________________________________________________


    5. Who is responsible for the majority of biological evidence collected from crime scenes?  (If multiple answers apply, please provide percents)
___% Crime scene unit directly associated with the laboratory
___% Investigating agency
___% Other (please briefly describe)  __________________________________________
________________________________________________________________________


    6. What improvements are needed in law enforcement’s submission of biological evidence for DNA analysis?  Note:  This question goes to quality and probative value, and not laboratory’s ability to process requests.  (Please select one response for each crime category)
 


IMPROVEMENT NOT NEEDED
TOO MUCH EVIDENCE SUBMITTED
TOO LITTLE EVIDENCE SUBMITTED
EVIDENCE NOT COLLECTED/ SUBMITTED


MURDER






SEX ASSAULT






OTHER VIOLENT






BURGLARY





    1. ANDSDOur agency and law enforcement collaborate effectively on cases involving DNA evidence.SAANDSDOTHER NON-VIOLENT







    7. Does your laboratory have additional training requirements for DNA analysts beyond those generally required throughout the country (such as for accreditation or by NDIS regulations)?
	___ NO
	___ YES (please provide a brief description) _________________________________
________________________________________________________________________


    8. In CY 2004 through today, has the laboratory used federal money to attain DNA training for crime lab personnel (or are there plans to do so with currently earmarked funds)?  	
	___ NO
	___ YES

How many hours?  _________
How many analysts? _________

	Please indicate the type of training needed
	___ Validation on new equipment or techniques
	___ New personnel training 


COLLABORATION / COMMUNICATION

    9. To what extent does your agency agree with the following statements? Use the following response categories:  SA= Strongly agree, A= Agree, N= Neither agree nor disagree, D= Disagree, SD= Strongly disagree.

    2. Overall, our agency is satisfied with the way law enforcement handles cases involving DNA evidence.SAANDSDSA
Our agency and prosecutorial staff collaborate effectively on cases involving DNA evidence.
SA
A
N
D
SD
    3. 
Overall, our agency is satisfied with the way prosecutorial staff handle cases involving DNA evidence.
SA
A
N
D
SD
    4. 
There is a formal protocol for working with prosecutors on DNA evidentiary issues.
SA
A
N
D
SD
    5. 
There is a formal protocol for working with law enforcement on DNA evidentiary issues.
SA
A
N
D
SD


CODIS HITS

    10. What is the protocol for reporting offender hits on the DNA database?  (For NDIS hits, this question applies only when the forensic sample originated in your state’s jurisdiction.)
___ Reported directly to individual detectives 
___ Reported to a central location at investigating agency
___ Varies by jurisdiction
___ Other __________________________________________________________________
___________________________________________________________________________
___________________________________________________________________________

    11. Are prosecutors ever notified of offender hits? (For NDIS hits, this question applies only when the forensic sample originated in your state’s jurisdiction.)
___ NO
___ YES (please describe the criteria) ____________________________________________
___________________________________________________________________________
___________________________________________________________________________

    12. Please report annual CODIS hits for your state (use calendar years), and the number of reference samples submitted to the laboratory for confirmation?  Reference samples should be counted for the year in which the original hit occurred, regardless of the year in which it was finally submitted (ie, a reference sample submitted in 2005 for a hit that was originally reported in 2004 should be counted in the 2004 column).


Forensic hits
Offender hits
Reference samples
2003



20052004



2006





    13. Does the laboratory ever assist in the collection of the reference samples?  
___  Assist law enforcement in obtaining a warrant 
___  Accompany law enforcement for swabbing or blood draw
___  Other (please describe)____________________________________________________
___________________________________________________________________________
___________________________________________________________________________

    14. Other than through submittal of reference samples, does the laboratory receive notification  (on a routine basis) at any of the following points:
						  Automated System	   Manual System
	_­__ Investigation is proceeding 			____			____
	___ Warrant for arrest has been issued 		____			____
	___ Charges have been filed  			____			____
___ Trial date is set				____			____
___ Disposition of case				____			____


    15. When a reference sample is not submitted for a reported CODIS hit, does the laboratory have a policy of follow-up with the investigating agency? 
___ NO
___ YES (please describe) _____________________________________________________
___________________________________________________________________________

    16. When a reference sample is not submitted or if the case is not further investigated, is the laboratory notified of the reasons why?
___ NO
___ YES  Please circle below an estimate of the frequency:

	1%  to 10% of the time		26% to 50% of the time		76% to 100% of the time
	11% to 25% of the time		51% to 75% of the time

If the laboratory is notified, please check the most common reasons reported?

___ Offender determined to not be a possible suspect
___ Offender cannot be found
___ Victim does not want to press charges
___ Crime is no longer prosecutable (statute of limitations lapsed)
___ Other (please describe)________________________________________________


    17. For violent, no-suspect forensic cases, please indicate if the requesting agency is notified at any of the following points.
	____ Notified if DNA is found in submitted evidence
	____ Notified when DNA analysis is complete
	____ Notified when DNA profile is uploaded

    18. What is notification policy if no analysis or upload occurs?  
___ No policy for laboratory responsibility for notification
___ Laboratory notifies the investigating agency 
___ Laboratory notifies the victim advocacy office
___ Laboratory notifies the victim directly
___ Laboratory not responsible for victim notification, but provides a process for victims to request notification


OPERATIONS

General Backlogs

    19. Please provide the definition used by your laboratory for the following DNA backlogs:

	Casework backlog_______________________________________
	Offender backlog ________________________________________


    20. Using the definition described above, what is the size of this backlog as of (certain date)?
 	Casework (if possible, please provide the following breakdowns)
	
					SUSPECT		NO SUSPECT
TOTAL


Sex crimesMurder


Other violent


Property crimes 


Other




Offender Samples
TOTAL

Not Analyzed

Analyzed but not reviewed

Reviewed but not uploaded



Offender Samples

    21. What are the largest obstacles to outsourcing offender samples? Please check all that apply.

	___ Quality of private laboratory work is substandard
	___ Timeliness of analysis results 
	___ Front-end sample preparation
	___ Back-end sample review
	___ Cost-prohibitive
	___ No perceived obstacles


    22. Of the offender samples received by your lab for inclusion in SDIS, as provided in state law, how many have been in the possession of the laboratory for 30 days or more for which the following steps have not been completed (please include samples in-process).  

TOTAL

Not Screened

Screened but not analyzed


If screening and analysis cannot be separated, how many have not completed the process

IF OUTSOURCED:

Analyzed but no technical review 

Technical review but not uploaded

IF ANALYZED IN HOUSE:

    23. Does your laboratory anticipate having capacity to process all statutorily required offender samples by 2009, without federal assistance?  (Assume no change to current state statues.)

	___ YES.  Laboratory’s will be able to upload all offender samples within 30 days
	___ YES.  Laboratory will be able to upload all offender samples within 60 days 
	___ YES.  Laboratory will be able to upload all offender samples within 90 days
	___ NO.   Laboratory will not have capacity for offender samples without building a backlog of more than 90 days

    24. How many additional offender samples (annually) would be anticipated if your statute changes to require DNA from the following groups.  Where applicable, please assume law to be applicable to all sentences, but not retroactive.  Acceptable to use raw numbers without adjustments for samples previously collected.

All felony convictions? _________________________

All misdemeanor convictions?________________________
      
All felony arrests?________________________

All fingerprintable arrests?________________________




    25. Please provide the following numbers regarding your convicted offender program. (“Offender samples” includes any arrestee samples as specified in state statute.) 









Casework

    26. Please provide numbers of the following types of cases submitted to the crime laboratory, how many were queued for DNA screening and/or analysis? 


NO SUSPECT MURDER
KNOWN SUSPECT MURDER
NO SUSPECT SEX ASSAULT
KNOWN SUSPECT SEX ASSAULT

TOTAL CASES SUBMITTED
CASES FOR DNA SCREENING
TOTAL CASES SUBMITTED
CASES FOR DNA SCREENING
TOTAL CASES SUBMITTED
CASES FOR DNA SCREENING
TOTAL CASES SUBMITTED
CASES FOR DNA SCREENING
2003








2004








2005










    27. Of the cases received by your laboratory for possible forensic DNA analysis, how many have been in the possession of the laboratory for 30 days or more for which the following steps have not been completed (please include ALL cases in-process).


Murder
Sex Assaults
Other Violent Crimes
Property Crimes
Other Non-violent crimes
TOTAL





Not Screened





Screened but not analyzed






If screening and analysis cannot be separated, how many have not completed the process





IF OUTSOURCED:
Analyzed but no technical review





Technical review but not uploaded to SDIS





IF ANALYZED IN HOUSE:
Analyzed but not uploaded to SDIS







    28. Over the last 5 years, what has been the approximate increase (or decrease) in criminal cases submitted to your laboratory?  Please circle the most approximate percentage.
	1% to 10% increase (decrease)		51% to 75% increase (decrease)
	11% to 25% increase (decrease)		76% to 100% increase (decrease)
	26% to 50% increase (decrease)		101% or more increase 

Over the last twelve months, what has been the approximate increase (or decrease) in criminal cases submitted to your laboratory?  
	1% to 10% increase (decrease)		51% to 75% increase (decrease)
	11% to 25% increase (decrease)		76% to 100% increase (decrease)
	26% to 50% increase (decrease)		101% or more increase 


    29. Does your laboratory anticipate having capacity to process all reasonable requests for violent crime cases by 2009, without federal assistance?  (For both named suspect and no-suspect cases.)

___ YES.  Laboratory will have analysis completed, and when appropriate data uploaded,  within 30 days of receipt
___ YES.  Laboratory will have analysis completed, and when appropriate data uploaded,  within 60 days of receipt
____YES.  Laboratory will have analysis completed, and when appropriate data uploaded,  within 90 days of receipt
	____ NO.  Laboratory will not have capacity for all violent crime cases submitted without building a backlog of more than 90 days

    30. Does your laboratory anticipate having capacity to process all reasonable requests for non-violent crime cases by 2009, without federal assistance?  (For both named suspect and no-suspect cases.)

___ YES.  Laboratory will have analysis completed, and when appropriate data uploaded,  within 30 days of receipt
___ YES.  Laboratory will have analysis completed, and when appropriate data uploaded,  within 60 days of receipt
___ YES.  Laboratory will have analysis completed, and when appropriate data uploaded,  within 90 days of receipt
	___ NO.  Laboratory will not have capacity for all non-violent crime cases submitted without building a backlog of more than 90 days


    31. Have laboratory policies for the types of evidence accepted for DNA analysis changed in the last five years?  
___ NO
___ YES Please describe.  _____________________________________________________
___________________________________________________________________________


    32. Does laboratory accept all types of property crime cases for DNA analysis on a routine basis? 
___NO
___YES

If you answered “no”, what are the criteria that must be met prior to acceptance? __________
___________________________________________________________________________
	

    33. Does laboratory collaborate with law enforcement agencies or prosecutors prior to screening and/or DNA analysis to determine probative value?
	___ YES (please select most accurate description, or supply your own)
	___Probative value discussed with submitting agency and agreement as to which pieces will be tested
	___Probative value is reported by agency and laboratory makes determination on what will be tested
	   ___Other __________________________________________________________________________
	___NO – Lab analyzes all submitted samples until a profile is generated


    34. In addition to a probative value review, does the laboratory otherwise limit the amount of samples submitted per case?   Please describe any limitations.
	___ Lab does not limit evidence
	___ Lab does limit evidence (please check all that apply)

		___ Number of samples submitted per case (describe ________________)
		___ Number of samples submitted per month (describe ________________)
		___ Number of samples submitted per agency (describe ________________)
		___ Number of samples submitted per detective (describe ________________)
		___ Number of samples submitted per type of case (describe ________________)			

    35. What is the percentage of casework completed by private laboratories for the years specified below?
		2003				2004					2005
___ Violent, no-suspect cases
___ Non-violent no-suspect cases
___Violent, known-suspect cases
___Non-violent, known-suspect cases


___ Violent, no-suspect cases
___ Non-violent no-suspect cases
___Violent, known-suspect cases
___Non-violent, known-suspect cases


___ Violent, no-suspect cases
___ Non-violent no-suspect cases
___Violent, known-suspect cases
___Non-violent, known-suspect cases
    36. What are the largest obstacles to outsourcing casework? Please check all that apply.

	___ Quality of private laboratory work is substandard
	___ Communication regarding analysis of probative evidence
	___ Timeliness of analysis results 
	___ Front-end sample preparation
	___ Back-end sample review
	___ Cost-prohibitive


    37. For all cases requiring DNA analysis or screening, what is the percentage submitted by law enforcement vs. prosecutors?

	____%  submitted by law enforcement		____%  submitted by prosecutors

    38. Please provide details as to how your laboratory’s capacity has increased since 2003 through 2005. 

___ % increase in screened samples OR provide raw figures for 2003____ and 2005 _____
___ % increase in analyzed samples OR provide raw figures for 2003____ and 2005 _____
___ % increase in outsourced samples with technical review OR provide raw figures for 2003____ and 2005 _____

If you have multiple laboratories, please use an average. If there is an aberration or gross difference at one (or more) of these laboratories, please omit that laboratory from the average, and explain below:
 

    39. If lab outsources forensic cases for analysis (either to private lab or FBI), what is criteria for selecting cases?  (select all that apply)
	___ Mitochondrial DNA cases
	___ Criminal paternity DNA cases
	___ Any violent, no-suspect case, as in-house capacity warrants
	___ Any non-violent no-suspect case, as in-house capacity warrants
	___ Cases with high public profile (significant media attention)
	___ All cases with expedited court dates
	___ Some non-violent, no suspect cases
	___ Other


    40. For forensic case samples outsourced to a private lab, please provide percentage of federal / state / local share.  


Federal Funded %
State Funded %
Local Funded %
2003



2004



2005





    41. If  your state has outsourced forensic casework using both federal and state and/or local funds, is there a difference in criteria used for selecting outsourced cases?
	___No.  Cases are selected using similar criteria
	___Yes.  Please explain ____________________________________________________
______________________________________________________________________________


    42. Please describe how chain of custody is preserved once a forensic case is received by your lab.

DO WE NEED THIS QUESTION?


Post Conviction

    43. How many post conviction DNA testing cases has your lab received for the following years?   

2003 ____________
2004 ______________
2005 _____________

    44. In terms of queues for DNA screening and analysis, how are post conviction cases  prioritized?  (If your lab has not received a post conviction case, please provide your best educated guess.)

	___ Work begins immediately – ahead of other cases.
	___Case is put in line behind other cases prioritized for court dates.
	___Case is put in line behind other suspect cases
	___Case is put in line behind all other cases 
	___Other (please describe) _________________________________________________
_____________________________________________________________________________


FUNDING / RESOURCE ISSUES

    45. Does your state government have a dedicated funding source (such as a fee) for the DNA program? What is the mechanism? Approximately how much was collected in the most recent fiscal year? What proportion of your DNA caseload does this fee help to fund? 

	Funding Mechanism __YES	___No

Mechanism Description

Amount $ Collected

% of Offender Samples Funded

% of Casework Samples Funded



    46. How many samples have been analyzed by federal grants?  Murder / SA / other violent?
(What is date limitation here?  Just PDI $$?)
DO WE NEED TO ASK THIS QUESTION?

	Cases screened for DNA evidence  ____
	Samples analyzed  ____
	Samples uploaded  ____


    47. Over the past three years, approximately what percentage of your DNA budget has come from local funding? State funding? Federal funding? 

0%-10%
11%-25%
25%-50%
50%-75%
75%-100%
Local





State





Federal






	For categories reported above (local, state, federal monies), please provide information regarding how the funds are spent.


% on Casework Outsourcing
% on Offender Samples
% on Personnel
% on Capital Improvements
% on Supplies
Local





State





Federal







    48. What are the greatest needs for your laboratory’s DNA section?  Please check all that apply, and rate your top 3 (with 1 being the greatest need).

___Personnel for analysis
___Personnel for technical review
___Personnel for data upload / entry
___Reagents
___Robotics
___Equipment
___Construction / Lease
___Storage
___LIMS or other automated systems
___Software
___Other


    49. What are drawbacks to federal money?
	___ Reporting requirements
	___ Limitations on use of funds
	___ Delays in accessing funds
	___ Grant application process


    50. If your laboratory has received federal funding other than from the NIJ DNA grant programs to support your DNA section, please provide the name Iincluding the year), amount received and objective of each grant.

NAME				  AMOUNT	                          OBJECTIVE
_____________________	___________	________________________________________
_____________________	___________	________________________________________
_____________________	___________	________________________________________
_____________________	___________	________________________________________
_____________________	___________	________________________________________


    51. Once federal funds have been awarded to your agency, are there additional state and/or local processes for appropriating the money which slows your access to the funds?  (Assuming all federal conditions to begin draw-down of funds have been met.)  

	___  NO.  Money becomes directly available to the agency.
	___ YES.  Additional processes must be completed (check all which apply)

		__ Money must be reappropriated in the annual state budget 
		__ Money must be reappropriated in the annual local budget 
		__ Money must be reappropriated in a special amendment to the state/local budget 
		__ Other (please explain)


    52. What have been the biggest challenges in working with federal grants?

___Timeliness of awards
___Flexibility to change purpose
___Grant audit and reporting requirements
___Inability to use grants for non-violent cases
___Communications with federal agency offices
___Other