SDIS Lab survey

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
ANDSDOur agency and law enforcement collaborate effectively on cases involving DNA evidence.SAANDSDOTHER NON-VIOLENT												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) _________________________________ ________________________________________________________________________ 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 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.
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
		Overall, our agency is satisfied with the way prosecutorial staff handle cases involving DNA evidence.					SA		A	N	D	SD
		There is a formal protocol for working with prosecutors on DNA evidentiary issues.					SA		A	N	D	SD
		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:

Analyzed but not uploaded to SDIS

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?________________________

	# OF OFFENDER SAMPLES ANALYZED BY PRIVATE LAB	% OF FEDERAL SHARE FOR PRIVATE LAB ANALYSIS	# OF OFFENDER SAMPLES ANALYZED BY STATE LAB	% OF FEDERAL SHARE FOR STATE LAB ANALYSIS
2003

2004

25. 2005

    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

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