Forensic DNA Backlog Reduction Program

Beginning in fiscal year 2011, the National Institute of Justices is combining the DNA Backlog Reduction Program and the Convicted Offender and/or Arrestee DNA Backlog Reduction Program into a single program — the DNA Backlog Reduction Program.

This page is an archive of the DNA.gov website and is provided for informational purposes only, is no longer updated and may contain outdated information and links may no longer function. Please email DNA.gov if you have any questions.

This site offers general information about this program based on the fiscal year 2010 award announcement (pdf), which contains further detail and instruction. Requirements for funding in future years may differ.

The goal of NIJ's FY 2010 Forensic DNA Backlog Reduction Program is to assist eligible States and units of local government to reduce forensic DNA sample turnaround time, increase the throughput of public DNA laboratories, and reduce DNA forensic casework backlogs. These improvements are critical to preventing future DNA backlogs and to helping the criminal justice system use the full potential of DNA technology.

Eligible States and units of local government may request funds to increase the capacity of their existing crime laboratories that conduct DNA analysis to analyze DNA samples more efficiently and cost effectively. Eligible applicants also may request funds to handle, screen, and analyze backlogged forensic DNA casework samples.

Who Can Receive Funding

Eligible applicants for funding are States and units of local government with existing crime laboratories that conduct DNA analysis that:

• Undergo external audits, not less than once every 2 years, to demonstrate compliance with the requirements of the Quality Assurance Standards established by the Director of the Federal Bureau of Investigation.
• Are accredited by a nonprofit professional association of persons actively involved in forensic science that is nationally recognized within the forensic science community.
• If applicable, have submitted an approved spend plan for each active award under the FY 2007 DNA Backlog Reduction Program.
  
  Potential applicants that have active projects funded under the FY 2007 DNA Backlog Reduction Program must submit a spend plan for each such active award for approval by the NIJ Program Manager. A spend plan must include detailed timelines for project completion, information that justifies that remaining project activities will be completed at proposed milestones, and a firm proposed date for the end of the project period. FY 2007 award spend plans that extend past September 30, 2010, must be reasonable and well justified. Spend plans must be submitted to an NIJ Program Manager no later than 30 days after this solicitation is posted, and approval by an NIJ Program Manager is required before consideration for FY 2010 funding. Recipients of FY 2010 awards with approved spend plans for active FY 2007 awards should be aware that they may not be eligible for extensions beyond the end date of the timeline associated with the spend plans they have submitted.

Program Requirements

Eligible States and units of local government to reduce the overall turnaround time for the handling, screening, and analysis of forensic DNA samples, increase the throughput of DNA laboratories and reduce existing DNA forensic casework backlogs.

• Forensic Casework DNA Backlog Reduction
• DNA Capacity Enhancement Projects

Forensic Casework DNA Backlog Reduction

Eligible States and units of local government may request funds to handle, screen, and analyze forensic DNA samples that currently exist as casework backlogs. For the purpose of this solicitation, "backlog" is defined as any forensic casework samples awaiting handling, screening, and/or DNA analysis. Although the allocation of funds in general will be based on UCR, Part 1 Violent Crimes, the use of award funds for forensic casework DNA backlog reduction purposes is not limited to handling, screening, and analyzing backlogged forensic DNA casework samples from UCR, Part 1 Violent Crimes. Although UCR, Part 1 Violent Crimes are the priority, States and units of local government may use FY 2010 program funds to handle, screen, and analyze any backlogged criminal forensic DNA casework sample. Research has suggested that the aggressive use of DNA analysis in solving nonviolent crimes may have an impact on the prevention of violent crimes.

The following requirements apply to forensic casework DNA analyses conducted under this FY 2010 program:

• Every laboratory that conducts forensic casework DNA analyses under this program must undergo an external audit, not less than once every 2 years, that demonstrates compliance with the requirements of the Quality Assurance Standards for Forensic DNA Testing Laboratories established by the Director of the Federal Bureau of Investigation.
• Every laboratory that conducts forensic casework DNA analyses under this program must be accredited by a nonprofit professional association of persons actively involved in forensic science that is nationally recognized within the forensic science community. This applies to:
  • An accredited, government-owned laboratory operated by the applicant State or unit of local government.
  • An accredited, government-owned laboratory operated by another government agency.
  • An accredited fee-for-service laboratory.
• All eligible forensic DNA profiles obtained with funding from this program must be entered into the Combined DNA Index System (CODIS) and, where applicable, uploaded to the National DNA Index System (NDIS). Laboratories must follow NDIS DNA Data Acceptance Standards for all profiles uploaded to NDIS.
• Each DNA analysis conducted under this program must be maintained pursuant to all applicable Federal privacy requirements, including those described in 42 U.S.C. § 14132(b)(3).

In general, budget requests for in-house handling, screening, and estimated analysis of forensic DNA casework samples will be reviewed on the basis of the estimated number of forensic DNA cases that meet both of the following criteria: 

• Are awaiting analysis as of the application date, or are projected to be received as of September 30, 2010, and
• Will be analyzed during the award period with Federal funds provided under this announcement.

States or units of local government that are awarded funds for in-house laboratory handling, screening, and DNA analysis of forensic DNA cases will be expected to document the number of backlogged forensic DNA cases analyzed during the reporting period (see "Performance Measures" section below). The expected total number of backlogged DNA cases analyzed in- house during the entire project period should be based on a per-case estimate of no more than $1,000 (for analysis and, when applicable, upload to NDIS) averaged over all backlogged forensic DNA cases processed.

Example: An FY 2010 award with $N allocated specifically to overtime and supplies for in-house processing of backlogged forensic DNA casework in the proposed budget would be expected to process N/1,000 backlogged cases over the course of the project period. Therefore, if N = $20,000, a minimum of 20 cases would be expected to be analyzed in-house during the project period.

DNA Capacity Enhancement Projects

In addition to requesting funds to analyze forensic DNA casework samples, eligible applicants may request funds to increase the capacity of existing government crime laboratories that conduct DNA analysis, including laboratories that focus on the analysis of convicted offender and/or arrestee DNA samples (DNA database samples). Areas and/or systems that may be considered for implementation, upgrade, and/or expansion to handle, screen, or analyze forensic DNA casework and/or DNA database samples more efficiently and cost effectively may include, but are not limited to:

• Basic Infrastructure Support: Public crime laboratories that currently conduct DNA analyses may utilize FY 2010 funds to obtain additional equipment and materials for use in basic DNA analysis processes, such as extraction, quantitation, amplification, fragment separation, and data analysis. Purchases that support basic infrastructure should help laboratories continue to meet or exceed Federal quality assurance standards.
• Laboratory Information Management Systems (LIMS): LIMS are software systems designed to manage samples, laboratory users, instruments, and other laboratory functions. Benefits of a LIMS may include automation of evidence-handling procedures that increases efficiency and integrity, assures proper chain-of-custody documentation and, overall, improves casework management.
• DNA Laboratory Operations: Strategic efficiency planning, which may include needs assessments, evaluations, workflow analyses, process mapping and, ultimately, the implementation of process improvements that increase the efficiency of public DNA laboratories.
• Automation Tools: Automation may be applied to both wet laboratory (e.g., robotic platforms) and data analysis (e.g., expert system software packages) processes. Automation tools allow crime laboratory personnel to streamline aspects of the DNA analysis procedures that are labor and/or time intensive. Automating DNA analysis procedures can increase analyst productivity and minimize human error caused by repetitive manual processing, thereby reducing the potential for contamination.
• Storage of Forensic Evidence That May Contain DNA: Forensic evidence that may contain DNA must be stored in a manner that ensures its integrity and maintains its availability throughout criminal investigations, judicial proceedings, and as required by law. Appropriate evidence storage conditions require equipment such as security systems, environmental control systems, ambient temperature monitors, and dehumidifiers. Improved evidence storage may offer benefits to DNA laboratories such as more efficient access to evidence for processing and higher success rates in obtaining DNA profiles with fewer processing attempts.

How Funding Is Allocated

NIJ expects to award a total of up to $ 65 million under the FY 2010 Forensic DNA Backlog Reduction Program. In general, the aggregate amount of FY 2010 funds allocated to eligible applicants from a particular State (including both the State and its units of local government) will be based on:

1. The number of UCR, Part 1 Violent Crimes reported to the FBI for 2008 (the most current year for which such data are available). See UCR Violent Crime Statistics on the FBI Web site.
2. The minimum aggregate amount available to eligible applicants from each State. For FY 2010, if the aggregate amount, based on the number of UCR, Part 1 iolent Crimes reported to the FBI, would have been less than $150,000, that aggregate amount has been increased to $150,000.[1]
3. The number of qualifying State and local applicants also may affect award amounts.

See "Appendix: Estimated Allocation of Funds—FY 2010" for a chart of estimated aggregate amounts available for awards, by State.

A unit of local government that meets the eligibility requirements of this solicitation must specify in its application the proportion of their State's total UCR Part 1 Violent Crimes for 2008. If 2008 data are not available, the most recent data may be submitted. In general, funds are expected to be allocated among the eligible applicants within a particular State on the basis of UCR, Part 1 Violent Crimes. However, NIJ encourages States with multiple eligible applicants to coordinate among themselves to ensure that, if practicable, all eligible applicants receive a minimum of $100,000, regardless of whether their proportion (based on 2008 statistics for UCR Part 1 Violent Crimes) rises to that level or not.

Also, to avoid delay in the processing of applications and release of award funds, all eligible applicants within each State that seek FY 2010 Forensic DNA Backlog Reduction Program funds are encouraged to coordinate to ensure that the total funds sought does not exceed the total aggregate amount available to each State as shown in the chart in the appendix.
 
All awards are subject to the availability of appropriated funds and to any modifications or additional requirements that may be imposed by law.

Notes

1 This minimum aggregate amount is intended, among other things, to provide funds for purchase of items such as expert systems, laboratory information management systems, or robotic workstations (should eligible applicants have needs for such items). Back to text.

How You Can Use Funds

Funds awarded under this program must be used to reduce forensic DNA sample turnaround time, increase the throughput of public DNA laboratories (including those laboratories that analyze DNA database samples), and/or reduce DNA forensic casework backlogs. Permissible uses may include:

1. Salary and benefits of additional laboratory employees: Funds may be used to hire additional full-time or part-time laboratory employees to directly handle, screen, and/or analyze forensic casework evidence that may contain DNA. Funds may also be used to hire additional full-time or part-time laboratory employees to directly perform capacity enhancement-specific activities, such as validating new DNA analysis technologies for the forensic casework DNA laboratory and/or the laboratory responsible for analysis of DNA database samples. Subject to applicable restrictions on supplanting (see OJP Financial Guide, Part II, Chapter 3, Standards for Financial Management Systems), funds may be used to retain full-time or part-time laboratory employees for the above purposes if there are no other funding sources for the retention of such personnel (e.g., personnel acquired through previous federal assistance). Matching funds are not required.
   
   Note: NIJ makes no assurance that funds will be available for this purpose in future award announcements.
2. Overtime for existing laboratory staff: Funds may be used to pay overtime for existing laboratory employees to directly handle, screen, and/or analyze forensic casework evidence that may contain DNA. Funds may also be used to pay overtime for existing laboratory employees to directly perform capacity enhancement-specific activities such as validating new DNA analysis technologies for the forensic casework DNAand/or the laboratory responsible for analysis of DNA database samples. Any payments for overtime must be in accordance with the applicable provisions of the OJP Financial Guide.
3. Training: Funds may be used for appropriate training of DNA laboratory personnel (including the personnel of laboratories that analyze DNA database samples).
   • Existing members of the DNA unit: Appropriate training may include internal or external training, appropriate continuing education/training opportunities, and/or applicable graduate-level coursework that is directly related to the applicant's forensic DNA laboratory operation and is for members of the DNA Unit. (Reasonable travel expenses directly associated with training may be paid in accordance with the provisions of the OJP Financial Guide.)
     
     Funds associated with internal or external training, appropriate continuing education/training opportunities, and/or applicable graduate-level coursework for existing members of the DNA Unit (including travel expenses) are limited to no more than 5 percent of the total award. Such funds will be awarded with the intended purpose of aiding existing members of the DNA Unit to meet the continuing educational requirements mandated in DNA Quality Assurance Standards established by the Director of the Federal Bureau of Investigation.
   • New members of the DNA Unit: States and units of local government that wish to use funds to train new employees to handle, screen, or analyze DNA evidence should submit a detailed plan for training these individuals with their proposal. There is no fixed percentage cap on the funds for this purpose.
4. Travel (limited): Funds may be used for travel to public or private accredited laboratories that will be conducting DNA analyses to review procedures and practices prior to initial sample shipment; funds may also be used to make one additional unannounced site visit. Funds may be used for travel associated with DNA training, described in "3," above. Travel expenses must be reasonable and must comply with the applicable provisions of the OJP Financial Guide.
5. Equipment: Funds may be used for upgrading, replacing, and purchasing laboratory equipment, instrumentation, and computer hardware or software (e.g., LIMS or expert systems) for DNA analyses and data management.
6. Supplies for validation: Allowable supply expenses include the purchase of laboratory supplies that can be directly attributed to the validation of new DNA analysis technologies.
7. Supplies for DNA database sample collect: Convicted offender and/or arrestee-related evidence collection kits may be purchased.
8. Supplies for in-house laboratory handling, screening, and analysis of forensic DNA casework samples: These costs include any supplies necessary for the handling, screening, and DNA analysis of backlogged forensic casework samples.
9. Renovation: Funds may be used for renovations to existing DNA laboratory facilities if it can be demonstrated that the renovation will directly and specifically improve the efficiency of the analysis of forensic casework DNA samples and/or DNA database samples. Expenses that may be allowable include the purchase or upgrade of benches, cabinets, interior dividing walls, plumbing, HVAC systems, electrical wiring, evidence examination and preparation rooms, evidence storage rooms, drying rooms, walk-in freezers, and extraction or amplification rooms.
10. Consultant and contractor services other than sending forensic DNA casework samples to accredited fee-for-service laboratories for analysis: Funds may be used to hire consultants and/or temporary contract staff to handle, screen, and analyze forensic casework evidence that may contain DNA or to validate new DNA analysis technologies. Funds may also be used to hire consultants or contractors to assist laboratories with the installation of LIMS or expert systems or with the implementation of DNA process-improvement measures.
11. Sending forensic DNA casework samples to public or private accredited forensic DNA laboratories for analyses: Funds may be used to send forensic casework samples to accredited fee-for-service laboratories to conduct DNA analyses. Funds may also be used to enter into agreements with accredited government-owned laboratories to conduct DNA analyses, perform data review, enter eligible forensic DNA profiles into CODIS and, where applicable, upload to NDIS.
    
    An awardee that sends forensic casework DNA samples to an external accredited forensic DNA laboratory will be responsible for ensuring that applicable NDIS Data Acceptance Standards are met for all profiles uploaded to NDIS. 
12. Administrative expenses: Up to 3 percent of the Federal portion of an award under this program may be used for direct and indirect administrative expenses specifically related to grant administration and management. Applicants submitting budgets that include indirect costs must submit documentation of their federally approved indirect cost rate, but may not request indirect costs or direct costs in excess of 3 percent.

Expenses That Are Not Permitted

Federal funds awarded under this program may not be used for the following: 

1. Salaries and benefits for existing staff (other than overtime as discussed above in Permissible Use of Funds).
2. Travel (other than authorized travel expenses associated with appropriate DNA training and visits to outsourcing laboratories as discussed above in Permissible Use of Funds).
3. Construction.
4. Administrative expenses (direct or indirect) that exceed 3 percent of the Federal portion of the award.
5. Accreditation costs.
6. Expenses directly related to the actual analysis of backlog DNA database samples. Funds may be available for those purposes under the FY 2009 Convicted Offender and/or Arrestee DNA Backlog Reduction Program as well as under the contract program through the OJP Acquisition Management Division.
7. Work that is funded under another Federal award.

Results and Reporting

At the end of the project period, public crime laboratories receiving FY 2010 Forensic DNA Backlog Reduction funding are expected to demonstrate improvements (over current operations) by reducing their forensic DNA casework backlog and/or enhancing their laboratory capacity for DNA analysis. Expected results include:

• A reduction in the average number of days between submission of DNA evidence samples to the applicant's forensic science laboratory (or laboratories) and the delivery of DNA test results to the requesting office or agency.
• An increase in the number of forensic DNA samples processed per analyst per month.
• A reduction in the applicant's backlog of forensic DNA casework.

Laboratories that are not able to demonstrate such improvements are expected to include in their final reports: descriptions of any observed increases in evidence submissions; explanations of issues which have negatively impacted project goals; and approximate quantities for the increase in the forensic DNA casework backlog that would have occurred had the activities funded under this program not been performed.

Performance Measures

To assist in fulfilling the Department's responsibilities under the Government Performance and Results Act (GPRA), P.L. 103–62, applicants who receive funding under this solicitation must provide data that measures the results of their work. Performance measures for this announcement are as follows:

Objective 1: To improve DNA analysis capacity of existing State and local government crime laboratories that conduct DNA analysis.

• Performance Measure 1: Reduction in the average number of days between the submission of a DNA sample to a laboratory and the delivery of the test results. Under this measure, the grantee provides:
  • Average number of days between the submission of a request for DNA analysis to a laboratory and the delivery of the test results at the beginning of the grant period.
  • Average number of days between the submission of a request for DNA analysis to a laboratory and the delivery of the test results at the end of the reporting period.
• Performance Measure 2: Increase in DNA analysis throughput for the lab. Under this measure, the grantee provides:
  • Average number of DNA samples analyzed per analyst at the beginning of the grant period.
  • Average number of DNA samples analyzed per analyst at the end of the reporting period.

Objective 2: To reduce backlogged DNA casework in State and local government crime laboratories.

• Performance Measure 3a: Percent reduction in DNA backlog casework.
  
• Performance Measure 3b: CODIS hits attributable to forensic casework DNA analyses funded under this announcement.
  Under these measures, the grantee provides:
  • Number of backlogged forensic DNA cases at the beginning of the award period.
  • Number of backlogged forensic DNA cases analyzed using funds provided under this announcement.
  • Number of backlogged forensic DNA cases at the end of the award period.
  • Number of forensic DNA profiles entered into CODIS as the result of funds provided under this announcement.
  • Number of CODIS hits attributable to forensic DNA analyses funded under this announcement.