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Maricopa County
301 W Jefferson St
Phoenix, AZ 85003
January 1, 2016
management and administration of the Program, report preparation, victim services, onsite training, any
expense incurred before or after the two-year Term of this Grant Agreement, or other similar costs.
B. "Combined DNA Index System" or "CODIS" means the Federal Bureau of Investigation's
national DNA database for uploading DNA profiles contributed by participating federal, state and local
forensic laboratories.
C. "Community-Based Victim Advocate" means a person employed by an independent non-profit
agency that provides ongoing, comprehensive support and counseling to victims to address trauma and
other needs resulting from a sexual assault.
D. "Effective Date" is October 1, 2015, the date program services commence.
E. "Forklift Approach" means the testing of all Untested SAKs irrespective of the type of kit.
Under a "Forklift Approach" SAKs should not be excluded from the sample of kits to be tested for reasons
including: expired statute of limitations, perceived weaknesses in the case, the nature of the
victim/defendant relationship, victim cooperation at the time the crime was reported, previous adjudication
of the case, or prior forensic testing.
F. "Lead Applicant" means a Grantee that is responsible for reporting to DANY on an
implementation of a Multi-Disciplinary Strategy and for performing other duties as set forth in this Grant
Agreement. A Lead Applicant also may be responsible for coordinating activities of a Multi-Jurisdictional
Entity.
G. "Multi-Disciplinary Strategy" means an approach to remedying the Untested SAK Backlog
problem (described in the RFP) that incorporates all critical stakeholders, including law enforcement,
prosecutors, System- and Community-Based Victim Advocates, forensic medical personnel and
laboratories (each such entity, other than the Lead Applicant, is referred to herein as a "member
participant"), and coordination of local SAX testing efforts. In some jurisdictions, a working group or task
force may be established.
H. "Multi-Jurisdictional Entity" means a Lead Applicant, such as a state lab or a state bureau of
investigation, acting on behalf of multiple smaller jurisdictions (each of which is referred to herein as a
"member jurisdiction"), such as counties or cities.
I. "Random Sample" means, for a jurisdiction other than one that will test its entire backlog of
SAKs, a process of selecting a subset of SAKs in which each kit in the subset has an equal probability of
being selected for testing. For example, if a Grantee receives funding to test one-fourth of its total backlog,
the Random Sample should include every fourth SAK — and Grantee is not permitted to intentionally select
a specific kit for testing. However, notwithstnnding the foregoing, specific kits may be selected for testing
if a statute of limitations will expire within two years.
J. "System-Based Victim Advocate" means a person employed by a law enforcement agency, such
as a police department or prosecutor's office, who links victims to services and acts as a liaison to victims
throughout the process of investigating and prosecuting a crime.
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1,929,145.00
Strategy other than Grantee may be permitted to assume primary responsibility for performing one or more
of the above listed duties, other than item (5).
4.2 Grantee shall take all measures reasonably within its power or control to cause the following "best
practice" procedures to be implemented: (1) all eligible DNA profiles resulting from SAK testing should
be entered into CODIS within a reasonable timeframe, (2) law enforcement agencies and prosecutors should
be notified of all CODIS hits that result from such testing so that investigation and where appropriate,
prosecution can occur, and (3) a coordinated strategy to notify and engage victims following CODIS hits
should be implemented.
4.3 If Grantee is receiving funding sufficient to test only a subset of its Untested SAKs, it must use a
Random Sample, as defined in this Grant Agreement, to select SAKs for testing under the Program.
4.4 Grantee shall submit quarterly performance measurement reports to DANY covering a period of four
(4) years from the date services begin: Such reports shall be submitted to DANY within thirty (30) days
after the end of each calendar quarter. Each report must describe all of Grantee's Program activities and
those of its member jurisdictions or member participants for that calendar quarter. At the time the Parties
are entering into this Grant Agreement, the Parties expect that quarterly reports applicable in whole or in
part to activities during the two-year Term of this Grant Agreement will consist of two parts as shown in
Attachments Cl and C2: (a) a survey in Google Forms, and (b) a case spreadsheet in MS-Excel. In addition,
each report after the expiration or termination of this Grant Agreement will consist of: (a) - a case spreadsheet
in MS-Excel as shown in Attachment C, and (b) answers to the questions DANY poses to Grantee about
sustainability. Submission of the part of a report in Google Forms will be performed online and the MS-
Excel case spreadsheet will be transmitted to DANY by email. Grantee shall comply with such instructions
as DANY may issue concerning the form, Content and manner of submission of these reports, which may
reasonably vary during the Term of this Grant Agreement. Furthermore, Grantee must submit a final report
to DANY at the conclusion of the Program in accordance with such instructions as DANY may issue
concerning the form, content and manner of submission of such final report.
ARTICLE 5. BUDGET AND ALLOWABLE EXPENSES
DANY will cause Grantee to be paid for Allowable Expenses that Grantee incurs under the Program during
the Term of this Grant Agreement in accordance with the Grantee's Budget Worksheet and Narrative that
is attached as Attachment B. The unit prices of individual expenditures set forth in Attachment B shall
serve as guidelines for approval and payment of invoices submitted by Grantee under this Grant Agreement.
It is understood and agreed that such amounts are estimates and it may be appropriate for actual expenses
to vary from such estimates; provided, however, that prior approval of DANY is required in the event any
such variation may result in a material change in DANY's programmatic goals. If DANY or its Fiscal
Administrator, RFCUNY, requests explanation of reasonableness of variance of actual expense(s) from
estimate, Grantee shall provide such requested information.
ARTICLE 6. INVOICING AND PAYMENT PROCEDURE
A. Each invoice shall be a written request for payment that is submitted by Grantee to DANY and
RFCUNY, DANY's designated Fiscal Administrator, that describes and lists the quantity and price of
Allowable Expenses incurred during the previous quarter and is supported by such documentation as
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DANY or RFCUNY may reasonably require. Each invoice shall include a fiscal report applicable to a
period of time (i.e., calendar quarter) covered by the invoice. Grantee shall submit invoices and fiscal
reports within 30 days after each calendar quarter ending during (or less than three months after) the two-
year Term of this Grant Agreement. At the time the Parties are entering into this Grant Agreement, the
Parties expect that quarterly fiscal reports will be in the form shown in Attachment D.
B. Procedures for submission of invoices to RFCUNY are set forth in Attachment E. Grantee shall
comply with such instructions as DANY may issue concerning the submission of invoices and the form and
content of the fiscal report (Attachment D), which may reasonably, vary during the Term of this Grant
Agreement.
C. DANY shall cause RFCUNY, its Fiscal Administrator, to make payment due under Article 5 of
this Grant Agreement, up to the "Total Grant Amount" indicated in Article 3 of this Grant Agreement,
within 30 days of receipt of a completed and accurate invoice that is submitted to DANY and RFCUNY in
accordance with the above requirements. There is no provision for payment of any interest or other charges
in the event of late payment.
D. Notwithstanding any provision in this Grant Agreement to the contrary, DANY and its Fiscal
Administrator, RFCUNY, will withhold payment for any expense that DANY or RFCUNY determines
does not meet the definition of the term "Allowable Expense" of this Grant Agreement.
ARTICLE 7. ADDITIONAL TERMS AND CONDITIONS
7.1 This Grant Agreement shall be deemed to be executed in the City and State of New York and shall be
governed by and construed in accordance with the laws of the State of New York (notwithstanding New
York choice of law or conflict of law principles) and the laws of the United States, where applicable.
7.2 The Parties agree that any and all claims asserted by or against DANY arising under or related to this
Grant Agreement shall solely be heard and determined in state or federal court located in County of New
York. The Parties shall consent to the dismissal and/or transfer of any claims asserted in any other venue
or forum to the proper venue and forum.
7.3 No claim shall be made by either Party against any officer, agent or employee of the other Party in their
personal capacity for, or on account of, anything done or omitted in connection with this Grant Agreement.
7.4 Grantee shall perform all services under this Grant Agreement in accordance with all applicable laws
as are in effect at the time such services are perforrned, including without limitation laws applicable to fair
employment practices and personal privacy.
7.5 Grantee shall not assign, transfer, convey or otherwise dispose of this Grant Agreement, - or the right to
execute it, or the right, title or interest in or to it or any part of it, or assign, by power of attorney or otherwise,
any of the monies due or to become due under this Grant Agreement, without the prior written consent of
the District Attorney of New York County. The giving of any such consent to a particular assignment shall
not dispense with the necessity of such consent to any further or other assignments. Any such assignment,
transfer, conveyance or other disposition without such written consent shall be void.
Page 5
7.6 All persons who are employed by Grantee and all consultants and independent contractors who are
retained by Grantee to perform services under this Grant Agreement, and all member jurisdictions of a
Multi-Jurisdictional Entity or member participants of a Multi-Disciplinary Strategy (including their
employees, consultants and contractors), are neither employees of DANY nor under contract with DANY.
Neither DANY nor its Fiscal Administrator, RFCUNY, is responsible for their work, direction,
compensation or personal conduct while engaged in performing work under the Program. Nothing in this
Grant Agreement shall impose any liability or duty on DANY or RFCUNY for any acts, omissions,
liabilities or obligations of Grantee or any of its officers, employees or agents. Except as specifically stated
in this Grant Agreement, nothing in this Grant Agreement shall impose any liability or duty on DANY or
RFCUNY to any person or entity.
7.7 To the extent permitted by Grantee's state law, Grantee shall defend, indemnify and hold DANY, its
officers and employees harmless from any and all claims (even if the allegations of the lawsuit are without
merit) or judgments for damages on account of any injuries or death to any person or damage to any property
and from costs and expenses to which DANY, its officers and employees may be subjected or which it may
suffer or incur allegedly arising out of or in connection with any operations of Grantee or its contractors in
carrying out the terms of this Grant Agreement to the extent resulting from failure to comply with the
provisions of this Grant Agreement or of law. Insofar as the facts or law relating to any claim would
preclude DANY from being completely indemnified by Grantee, DANY shall be partially indemnified by
Grantee to the fullest extent permitted by the Grantee's state law. Notwithstanding any other provision of
this Grant Agreement; this Agreement is not intended to create or vest any rights in any third-party not a
signatory hereto.
7.8 Grantee shall not commence performing services under this Grant Agreement unless and until all
insurance required by DANY is in effect, and Grantee shall have continuous insurance coverage in the
manner, form and limits required by DANY throughout the Term of this Grant Agreement. DANY's
insurance requirements are available from DANY's Agency Chief Contracting Officer. For each insurance
policy required by DANY, Grantee shall submit a certificate of insurance in a form acceptable to DANY at
the time it returns the signed Grant Agreement to DANY. In lieu of insurance, as appropriate, Grantee may
instead submit a certificate signed by an officer of Grantee substantially in the following form: "[Name of
Grantee] does not maintain insurance. [Name of Grantee], with such authority to sign such a certificate, is
a government entity authorized to expend funds for any loss, claim, action or judgment. This certifies that
[Name of Grantee] will defend, settle and, without limitation, satisfy any judgment against it in connection
with all claims and/or litigation filed against it by all entities and individuals for injuries and/or property
damage. This is applicable to claims arising from [Name of Grantee]'s activities and/or contracts to which
[Name of Grantee] is a party."
7.9 Grantee agrees that all data, reports and other written or graphic work produced in the performance of
this Grant Agreement are subject to the rights of DANY as set forth in this paragraph. DANY shall have
the right to reproduce, publish and use all such work, or any part thereof, and authorize others to do so;
provided, however, that jurisdiction-specific data collected from Grantees will be used only for evaluation
purposes and DANY (or any party authorized by DANY) will only report aggregate, anonymized outcomes.
If DANY (or any party authorized by DANY) wishes to report jurisdiction-specific information prior
approval will be sought from the Grantee. If any such work is copyrightable by Grantee, then
notwithstanding such copyright DANY reserves a royalty-free, non-exclusive and irrevocable license to
Page 6
reproduce, publish and use such work or any part thereof, and to authorize others to do so, subject to the
same proviso as above in this paragraph. No victim-specific or case-specific information provided to
DANY under this Grant Agreement will be disclosed to any other party. Any document prepared, owned,
or retained by the Grantee is subject to the laws of Grantee's state.
7.10 Grantee agrees to maintain satisfactory financial accounts, documents and records of its participation
in the Program and to make them available to DANY or its designee for auditing at reasonable times. If
Grantee, or a member jurisdiction of a Multi-Jurisdictional Entity or a member participant of a Multi-
Disciplinary Strategy, also is receiving funding from the U.S. Department of Justice's Bureau of Justice
Assistance for its SAK testing initiative, Grantee must implement financial record-keeping procedures
adequately designed to prevent charging both DANY and BJA for the same work. Grantee also agrees to
retain such financial accounts, documents and records during the Term of this Grant Agreement and for
four years following the expiration or termination of this Grant Agreement. Grantee's participation in the
Program is subject to audit by DANY or its designee during the Term of this Grant Agreement and for four
years following expiration or termination of this Grant Agreement.
7.11 The terms of this Grant Agreement regarding indemnification, payment, reporting, use and disclosure
of information and any others that by their sense and context are intended to survive the expiration or
termination of this Grant Agreement shall survive and continue in full force and effect notwithstanding the
Grantee's record retention laws or other comparable state-mandated laws regarding record retention.
7.12 Failure by Grantee to comply with the requirements of this Grant Agreement, or failure (as applicable)
of a member jurisdiction or member participant to comply with the terms of a written commitment
submitted by a Lead Applicant as part of its application to participate in the Program, may be cause for
suspension or, in the event of material breach, termination of all obligations of DANY hereunder.
7.13 Failure by Grantee over a period of two (2) consecutive quarters to achieve substantial compliance
with a timetable for accomplishments indicated in Grantee's application to participate in the Program
(Attachment F) may result in DANY requesting submission of a Corrective Action Plan from Grantee and
possible reduction of the Total Grant Amount set forth in Article 3 of this Grant Agreement.
7.14 This Agreement may be terminated without cause by DANY or Grantee upon delivery of written notice
of termination sent not less than 90 days prior to the effective date of termination. On the effective date of
termination, the Grantee shall not continue to perform any testing of Untested SAKs or Untested or
Backlogged SAKs; Grantee will continue to review DNA lab reports, upload any DNA profiles into CODIS,
and submit reports to DANY with respect to SAKs tested prior to the effective date of termination. All
Allowed Expenses shall be paid to the Grantee upon submission of invoices as set out in Article 6, including
Allowed Expenses for the SAKs tested prior to the effective date of termination and related review,
uploading, and reporting of such SAKs."
7.15 Each person executing this Agreement represents and warrants that they have the express authority,
right, and power to execute this Agreement and to bind the party on whose behalf they sign.
7.16 Notwithstanding any other term of this Grant Agreement, Grantee shall not be required to provide
information that is prohibited from disclosure by law.
Page 7
7.17 This written Grant Agreement, including the Attachments listed below, contains all the terms and
conditions agreed upon by the Parties, and no other agreement, oral or otherwise, regarding the subject
matter of this Grant Agreement shall be deemed to exist or to bind either of the Parties, or to vary any of
the terms contained in this Grant Agreement, other than a written change, amendment or modification duly
executed by both Parties. Any conflict or inconsistency between the parts of this Grant Agreement shall be
resolved in the following order of precedence:
1. This document titled Grant Agreement
2. Attachment A: The RFP issued by DANY
3. Attachment B: Budget Detail Worksheet
4. Attachments Cl and C2: Quarterly Performance Measurement Reporting Template
5. Attachment D: Quarterly Fiscal Reporting Template
6. Attachment E: Fiscal and Performance Metrics Reporting Instructions
7. Attachment F: Grantee's application to participate in the Program
(There is no farther text on this page)
Page 8
IN WITNESS WHEREOF, the parties have made and executed this agreement the day and year
first above written.
FOR THE GRANTEE:
Signature:
William G. Montg6mery i Steve Chueri, Chaiiman,
Marieopa County Attorney Maricopa County Board of Supervisors
Date: Date:
FOR THE DISTRICT ATTORNEY ATTEST:
OF NEW YORK:
Signature:
Karen Friedman-Agnifilo Maricopa County Clerk of the Board
Chief Assistant District Attorney
Date: Date:
Approved as to form:
Maricopa County Deputy County Attorney
Page 9
STATE OF NEW YORK
COUNTY OF NEW YORK ) ss:
On this day of 20 before me personally came of the
City of New York, New York County District Attorney's Office, to me known, and known to me to be the
person described in, and who executed the foregoing agreement, and acknowledge to me that he executed
the foregoing as such for the purposes therein mentioned.
NOTARY PUBLIC
STATE OF A g17—c),.)
COUNTY OF M AR co P ) ss:
On this 'I day of 20 tS , before me personally came kU. ,1115anM.& Al
the r%0Afc Ct CUrp..\ , to me known, and known to me to be the person described, ancf1\
who executed the fore mg agrealent, and acknowledge to me that he executed the foregoing as such for •
the purposes therein mentioned.
NOTARY PUBLIC
Page 10
STATE OF NEW YORK
COUNTY OF NEW YORK ) ss:
On this day of 20 before me personally came of the
City of New York, New York County District Attorney's Office, to me known, and known to me to be the
person described in, and who executed the foregoing agreement, and acknowledge to me that he executed
the foregoing as such for the purposes therein mentioned.
NOTARY PUBLIC
STATE OF
COUNTY OF ) ss:
On this day of 20 before me personally came of
the , to me known, and known to me to be the person described in, and
who executed the foregoing agreement, and acknowledge to me that he executed the foregoing as such for •
the purposes therein mentioned.
NOTARY PUBLIC
Page 10
STATE OF NEW YORK
COUNTY OF NEW YORK ) ss:
On this day of 20 before me personalty came of the
City of New York, New York County District Attorney's Office, to me known, and known to me to be the
person described in, and who executed the foregoing agreement, and acknowledge to me that he executed
the foregoing as such for the purposes therein mentioned.
NOTARY PUBLIC
STATE OF
COUNTY OF ) ss :
On this day of 20 before me personally came of
the , to me known, and known to rue to be the person described in, and
who executed the foregoing agreement, and acknowledge to me that he executed the foregoing as such for •
the purposes therein mentioned.
NOTARY PUBLIC
Page 10
STATE OF NEW YORK
COUNTY OF NEW YORK ) ss:
On this day of 20 before me personally came of the
City of New York, New York County District Attorney's Office, to me known, and known to me to be the
person described in, and who executed the foregoing agreement, and acknowledge to me that he executed
the foregoing as such for the purposes therein mentioned.
NOTARY PUBLIC
STATE OF
COUNTY OF ) ss:
On this day of 20 before me personally came of
the , to me known, and known to me to be the person described in, and
who executed the foregoing agreement, and acknowledge to me that he executed the foregoing as such for •
the purposes therein mentioned.
NOTARY PUBLIC
Page 10
STATE OF NEW YORK
COUNTY OF NEW YORK ) ss:
On this day of 20 before me personally came of the
City of New York, New York County District Attorney's Office, to me known, and known to me to be the
person described in, and who executed the foregoing agreement, and acknowledge to me that he executed
the foregoing as such for the purposes therein mentioned.
NOTARY PUBLIC
STATE OF
COUNTY OF ) ss:
On this day of 20 before me personally came of
the , to me known, and known to me to be the person described in, and
who executed the foregoing agreement, and acknowledge to me that he executed the foregoing as such for
the purposes therein mentioned.
NOTARY PUBLIC
Page 10
MaricopaCou ntyAttorneysOffice 1/23
User: garciaj@mcao.maricopa.gov
Welcome to the New York County District Attorney's Sexual Assault Kit Backlog
Elimination Grant Program Application Portal
Please complete the form below to begin your application. For all subsequent sections, refer to the
Request for Proposals (RFP) document. Complete your responses to each portion of the RFP in Word,
Excel or PDF document, and then upload them to the corresponding sections on this webpage.
You may begin the application and then save and return to it at any time. However, once you have filled in
all required fields, uploaded all required documents, and hit "submit," you can longer make edits to your
application.
All applications must be submitted through this site by June 1, 2015 at 5:00 p.m. EST. Applications may
not be submitted in any other way, and no late applications will be accepted.
Applicants should use appropriately descriptive file names, including the name of the section and the lead
applicant (e.g., "Program Narrative_NY County DA," "Budget Detail Worksheet and Narrative_NY County
DA," "Timeline NY_County DA,") for all attachments.
General Information
Lead Applicant Information
Lead Applicant Name Maricopa County Attorney's Office
Lead Applicant Type Local prosecutor's office
Lead Applicant Address 301 W. Jefferson, Suite 800
City Phoenix
State: Arizona
MaricopaCountyAttorneysOffice 2/23
Zip Code 85003
Contact Person Information
First Name John
Last Name Garcia
Phone Number (602) 506-3188
Email garciaj@mcao.maricopa.gov
Program Narrative
Please upload your program narrative here in .pdf, .doc or .docx format.
Program Narrative
Timeline
Please upload your estimated timeline here in .pdf, .xls, .xlsx, .doc or .docx format.
Estimated Timeline
Budget Detail Worksheet and Narrative
Please upload your Budget Detail Worksheet and Narrative here in .pdf, .xls or .xlsx format.
Click here for budget template.
Click here for instructions.
Budget Detail Worksheet and
Narrative
Additional budget attachments
gency rs -cif Commitment
Please use the fields below to upload letters of commitment.
If you have more than one, please enter one at a time the form below. Click the "add" button to add another
letter.
Maricopa County Sexual Assault Protocol Project
DANY Sexual Assault Kit Initiative
PROGRAM NARRATIVE
Proposer Information
The mission of the Maricopa County Attorney's Office (MCAO) is to deliver high-
quality prosecution, comprehensive victim services, crime prevention programs and legal
representation for County government on behalf of the people of Maricopa County. The
investigation and prosecution of sexual assaults and assisting sexual assault victims are included
in this mission. MCAO works with more than 20 local law enforcement agencies of varying sizes
to bring cases to trial.
Maricopa County covers an area of 9,226 square miles. With a population of
approximately 4 million people, Maricopa County is the fourth largest county in the United
States. More than 60 percent of Arizona's population resides within Maricopa County and crime
statistics reflect that the majority of the state's violent crimes, including sexual assault, are
committed within the county. In Arizona, law enforcement agencies report UCR Index Crime
statistics to the Arizona Department of Public Safety (DPS), which publishes an annual
compilation of data. The following table (Table 1) on page 2 provides information on Maricopa
County's reported Index Crime and reported Forcible rapes for the period of 2009-2013. The
table shows an alainiing trend in that even as reports of Index Crimes decreased 10 percent
between 2009 and 2013, the quantity of reported sexual assaults (forcible rapes) increased 17
percent.
Table 1 – Index Crime and Forcible Rapes Reported to Law Enforcement: 2009-2013; Maricopa
County
Index Crimes Forcible Rape
Year Reported Reported -
2013 147,385 1,081
2012 152,501 1,007
2011 159,379 952
2010 153,933 902
2009 164,094 922
Source: Crime in Arizona: 2009-2013; DPS, 2010-2014
In 2001, Arizona repealed the statute of limitations on rape, which allows prosecution for
sex assault committed as early as 1990, and in some cases even further. In 2008, Arizona enacted
Arizona Revised Statute § 13-4221, which defines a cold case as "a homicide or a felony sexual
offense that remains unsolved for one year or more after being reported to a law enforcement
agency and that has no viable and unexplored investigatory leads." The statute also requires that
biological evidence from a felony sexual offense be retained for a period of 55 years. However,
if rape kits are submitted to crime labs and remain untested, survivors continue to wait for
resolution and offenders. remain free to target new victims.
Each local law enforcement agency follows its own policies and procedures (in
accordance with state statute) for processing Sexual Assault Kits (SAKs) and conducting follow-
up investigations. Three of the local law enforcement agencies—Phoenix Police Department,
Mesa Police Department and Scottsdale Police Department—have their own crime laboratories
that conduct SAK testing for DNA. The remaining law enforcement agencies submit SAKs to
the Arizona Department of Public Safety (DPS) statewide crime lab. In previous years, the state
and municipal crime labs have applied for and received National Institute of Justice (NIJ) grant
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funding to address backlog and capacity issues at each of the respective labs. This has been a
coordinated effort facilitated by the Arizona Criminal Justice Commission. DPS, Phoenix and
Mesa crime labs each currently have open NIJ DNA Capacity Enhancement and Backlog
Reduction grants. These efforts are directed toward clearing backlogs currently submitted to the
labs for analysis—not to address SAKs that have not yet been submitted to the labs.
Background
Arizona state law requires the County Attorney's Office to pay for sex assault
examinations (Arizona Revised Statutes §13-1414). In Maricopa County, the majority of these
sex assault examinations are perfoinied by forensic nurse examiners. Between the years of
2011and 2014, MCAO financial records show that forensic nurse examiners performed an
average of 932 sex assault examinations each year. As of early 2015, the Maricopa County
Attorney's Office (MCAO) estimates that 3,000 unsubmitted SAKs are retained by more than 20
local jurisdictions. It is expected that most, if not all, of these kits reside with the law
enforcement agency with jurisdiction for the case (the contracted Sexual Assault Nurse Examiner
(SANE) provider does not retain SAKs). MCAO does not track the length of time SAKs are
retained before testing. Recognizing that this lack of information hinders the ability to analyze
the effectiveness of the county's ability to investigate and prosecute sexual assaults, this is one of
the proposed program measures for this grant project.
In MCAO's informal survey of local law enforcement agencies, we have determined that
the majority of untested SAKs are in cold case status as defined by Arizona Revised Statute §13-
4221 (more than one year old). As the team conducts a more thorough inventory and tracks the
results, the length of time before SAK submittals and testing remains an unknown will be
tracked.
Page 3 of 12
Within Maricopa County, local law enforcement jurisdictions vary in size, capacity and
resources. Some contract with the county sheriff for law enforcement services while many have
their own police departments. There are four government crime laboratories in Maricopa County
that are capable of performing DNA analysis: Phoenix Police Department Crime Lab, Mesa
Police Department Crime Lab, Scottsdale Police Department Crime Lab, and the DPS Crime
Lab. The DPS lab serves all law enforcement agencies in Arizona that do not have their own labs
or do not contract with other municipal labs, including some tribal law enforcement agencies.
For many years, the police crime labs have struggled to keep up with the demand for DNA
analysis. Separately, they turned to various funding sources, including grants from NIJ and other
federal agencies to assist with meeting this demand. As DNA testing became more sensitive and
case applications increased, labs began developing a backlog for DNA testing. Given the
different policies and protocols within each depai ',dent for processing of SAKs in Maricopa
County, there is no clear indication of the cause of unsubmitted SAKs in the county. The
problem of unsubmitted SAKs is not isolated to one entity, rather it is an issue that the
community as a whole must examine and solve. A primary goal of this grant project is to review
the various policies and procedures for SAK submittal and testing and understand factors at work
in Maricopa County. This infoimation will drive the development of a policy based upon best
accepted practices to ensure timely submission of SAK testing to the four crime labs in Maricopa
County.
Proposed Approach
To address the problem of unsubmitted SAKs in Maricopa County, MCAO proposes to
form a multidisciplinary team of stakeholders to review the issues related to unsubmitted SAKs;
send SAKs for testing; collect relevant data; contract with a research partner and subject matter
Page 4 of 12
expert on unsubmitted SAKs to analyze the data and make data-driven recommendations; and to
use this data analysis to develop a multidisciplinary, victim-focused Sex Assault Protocol based
on the research findings and accepted best practices. In addition, the research team will evaluate
the effectiveness of the program through a review of case dispositions and other data related to
the project.
MCAO currently works with many of these stakeholders: MCAO works with local law
enforcement to investigate and prosecute criminals; MCAO works with SANE personnel to
conduct forensic exams and prepare cases and to provide victim services; MCAO works with
state and local crime labs to prepare cases for trial; and MCAO collaborates with advocates such
as Arizona Voices for Crime Victims to ensure representation of victims in the policy arena.
In addition to MCAO's strong day-to-day working relationships with these stakeholders,
MCAO has a solid track record of working with local law enforcement and vested partners to
establish accepted and recognized best practices. Previously, MCAO led multidisciplinary teams
to develop and implement a felony Domestic Violence and a Domestic Violence Strangulation
program, Child Abuse, and Elder Abuse Protocols. MCAO's leadership with victim-focused
initiatives makes this office ideally suited for leading a multidisciplinary approach to developing
research-based solutions for addressing the issue of unsubmitted SAKs.
Strangulation is potentially one of the deadliest acts of domestic violence causing
unconsciousness within seconds and death in minutes. Strangulation became a felony in Arizona
in July of 2010. Prior to this change, only about 15% of these cases were filed, due to evidentiary
issues. In 2011-2012, MCAO worked with local law enforcement to implement a Strangulation
Protocol (STOP!), which included the involvement of SANE nurses and the collection of
forensic evidence. Filing rates for these cases are now around 70%. MCAO was recognized by
Page 5 of 12
the National Association of Counties and the Harvard School of Government for the success of
this program.
The activities outlined above will take place as part of a larger project in which the
DANY Initiative will be incorporated. In addition, MCAO has submitted a proposal to the
Bureau of Justice Assistance (BJA) under their SAK Initiative. Included in MCAO's BJA SAKI
proposal is a request for funding to test 640 SAKs of the estimated 3,000 in the county. The BJA
funding request covered review and processing, fees to private labs for testing, overtime for state
and municipal criminalists to review the private lab reports and enter those results into the
Combined DNA Index System (CODIS) as well as overtime for detectives to follow up and
investigate leads generated by CODIS hits. As a complement to this proposal, MCAO is seeking
additional funding from DANY to process the remainder of the unsubmitted SAKs and upload
resulting profile information into CODIS as appropriate. By combining BJA and DANY
resources, MCAO expects to inventory, test, and follow-up on nearly all of the estimated 3,000
untested SAKs.
The Phoenix Police Department has developed a non-proprietary database for tracking
SAKs and the test results. MCAO will contract for the services of a software programmer to
develop a web-based portal for the Phoenix database so that SAK inventory that can be entered
and tracked by the multidisciplinary team (this was a budget item included in the BJA proposal).
State and local crime labs currently contract with private laboratories for the processing
of some SAKs. MCAO proposes to use grant funds to process all unsubmitted SAKs in the
county. Under this proposal SAKs will be sent to a contracted private laboratory and grant
funding will be made available to our state and municipal labs for overtime funding for lab
personnel to review testing results and enter the information into CODIS.
Page 6 of 12
As SAK testing results yield useable results from CODIS, the law enforcement agency
with jurisdiction will take the investigative lead on those cases. The BJA grant proposal included
a funding request for detective overtime for following up on CODIS leads. MCAO has an
infrastructure that will allow for substantive in-kind support. MCAO houses the nation's only
prosecution-based law enforcement unit accredited by the Commission on Accreditation for Law
Enforcement Agencies (CALEA)—the MCAO Investigations Division. Within this division is a
cold case unit, which currently works cooperatively with local law enforcement agencies to bring
resolution to unsolved cases in Maricopa County. Where applicable, MCAO cold case detectives
will assist with investigations.
MCAO also houses a Victim Services Division (VSD), which ensures that victims
receive services as defined under the Arizona state constitution. MCAO VSD advocates
accompany victims to court, serve as a liaison between victims and service providers, and work
to secure restitution for crime victims. In Arizona, victim compensation claims are administered
through the county attorneys' offices. MCAO VSD will assist with victim compensation claims
where appropriate. MCAO will ensure that all victims whose cases are reviewed receive victim
services through the MCAO VSD programs. Also, the larger municipal law enforcement
agencies have victim advocates on staff. In addition to a community-based victim advocacy
representative, an MCAO victim's advocate will participate in the monthly meetings of the
multidisciplinary team as well to ensure victim notification efforts are coordinated among the
local agencies within Maricopa County.
MCAO recognizes the issues that make sex crimes uniquely different from other violent
crimes. MCAO has two Sex Crimes Bureaus within the Special Victims Division: Sex Crimes
East Bureau and Sex Crimes West Bureau. This structure ensures that attorneys assigned to these
bureaus specialize in the prosecution of sex crimes within their regional jurisdiction and develop
Page 7 of 12
ongoing professional relationships with the sex crimes detectives also assigned to these
jurisdictions. The two sex crimes Bureau Chiefs will participate in the multidisciplinary team
meetings and will offer their expertise pertaining to the cases brought forward as a result of the
testing and review of the unsubmitted SAKs tested and analyzed under this grant.
Given the previous Successes these stakeholders have had wbrking in a multidisciplinary
team setting to address criminal justice issues, the stakeholders do not foresee any barriers to
continuing this type of work with regard to addressing the issue of untested SAKs.
Sustainability
The purpose of the research and evaluation and the multidisciplinary team-generated
protocol is to ensure that law enforcement jurisdictions within Maricopa County follow an
efficient, victim-centered methodology for investigating and prosecuting sexual assaults. This
project seeks to quantify capacity issues and make recommendations for addressing the
challenges posed by unsubmitted and untested SAKs. Such recommendations may include
quantitative needs assessments for additional resources or reallocation of resources, technology
needs assessment, and changes in policies and procedures. As the central agency responsible for
prosecuting cases forwarded from each of these law enforcement agencies, MCAO has a vested
interest in ensuring that sexual assault victims regardless of the jurisdiction in which the assault
occurs have the same access to justice. As a body, the multi-disciplinary team will provide
support, data, and justification that local law enforcement agencies and crime labs can use to
address their own specific resource issues.
Page 8 of 12
Tim elin e
This timeline assumes funding under the BJA SAKI grant. A separate timeline graph is
included in addition to the following narrative.
YEAR ONE: The multidisciplinary team will meet monthly. Their first priority will be to
conduct a robust countywide inventory of unsubmitted SAKs. To assist in the inventory and
tracking of unsubmitted SAKS, MCAO will contract for the services of a software programmer
to develop a web-based portal so that SAK inventory that can be entered and tracked by the
multidisciplinary team. The Phoenix Police Department has developed a non-proprietary
database for tracking SAKs and the test results; MCAO intends to use this software in
conjunction with the web portal for tracking grant-funded SAK testing. Once the inventory is
complete, the team will send approximately 640 unsubmitted SAKs for review, testing and
analysis (under the BJA proposal). The remaining 2,300 untested SAKS will be submitted for
testing in conjunction with the DANY proposal. MCAO anticipates it will be necessary to
contract with an approved, accredited private laboratory in order to ensure adequate capacity to
complete the testing. Local crime labs may assist in preparing SAKS for testing, perform follow-
up review of tested SAKs, and enter identified profiles into CODIS. A national shipping
company will be used to transmit the SAKs to and from the outside laboratory. The associated
case files will be reviewed as well and, where appropriate, law enforcement will conduct follow-
up investigations. By the end of the first project year, MCAO expects no less than 25% of the
untested SAKs will have been tested, reviewed, and resulting profiles entered into CODIS. Also
during this time, the team will finalize the initial work on the Sexual Assault Protocol that
focuses on the process for victim notification. The proposal submitted to BJA called for 12
Page 9 of 12 '
members of the team, including the Project Director and Project Coordinator, to attend a required
BJA workshop in Washington, D.C. sometime during the first year of the project. Under the
DANY initiative, MCAO is proposing to send an additional 5 members to Washington for the
BJA-sponsdred workshop. MCAO will submit quarterly activity and financial reports as
required.
YEAR TWO: In the second year, the remaining unsubmitted SAKs will be sent for testing and
analysis and the associated case files will be reviewed. Once again, MCAO expects it will be
necessary to contract with an approved, accredited private laboratory for testing. Local crime
labs will continue to handle the shipping, review of returned profiles, and entry of profiles into
CODIS. In year two, the process of notifying victims and follow-up law enforcement
investigations will be well underway. Cases with identified suspects will be reviewed and
prepared for prosecution where there is a reasonable likelihood of conviction. Case disposition
for all grant-funded tested SAKs will be tracked. The multidisciplinary team will use these
findings to continue development of a system-wide protocol to address the investigation and
prosecution of sexual assaults in Maricopa County, using a victim-centered approach. MCAO
will submit quarterly activity and financial reports as required.
MCAO recognizes that the DANY grant is on a two-year grant cycle. However, the DANY grant
requirements request data from up to two additional years after the grant cycle ends. MCAO will
continue to provide this inforr iation to the DANY grant program administrators for the two
additional years.
Page 10 of 12
YEAR THREE: Per the terms of the DANY grant requirements, MCAO will continue to report
follow up data to DANY. In year three, as part of the BJA initiative, the multidisciplinary team
will have finalized the sexual assault investigation, victim notification, and prosecution protocol.
Also, the same team will prepare and forward recommendations for any necessary legislative
changes to the respective legislative liaisons for the stakeholder groups. At this time, the research
team will finalize their report on the project. The report will include lessons learned from
analyzing the sample SAKs, quantifying results in terms of CODIS hits and documenting the
number of viable cases that resulted from testing the previously unsubmitted SAKs. Also, the
report is expected to provide a capacity analysis and needs assessment of the law enforcement
crime labs in Maricopa County as well as a training needs assessment for law enforcement,
victim services providers and prosecutors.
YEAR FOUR: Per the terms of the DANY grant requirements, MCAO will continue to report
follow-up data to DANY. MCAO will continue to work with the multidisciplinary team to
further the goals and objectives from the previous years.
Performance Measures
MCAO will maintain accurate records and will report to DANY on the activities of the
program on the schedule and in the folinat requested. The partners in this initiative have
committed to sharing reliable data for the purposes of analysis and forging policy. Data
collection shall include, but not be limited to: inventory of unsubmitted SAKs in Maricopa
County; length of time SAKs have remained unsubmitted; numbers of SAKs tested under the
grant and subsequent results of entering DNA profiles into CODIS; and arrest and disposition of
Page 11 of 12
cases resulting from SAK testing under the grant. Additional data collection would include
victim and offender demographics.
MCAO is seeking separate funding to contract with a research partner to analyze the
project data and evaluate the outcomes of the grant-funded project. Analysis will include:
determining the primary reasons SAKs remain unsubmitted, including analysis of crime lab and
law enforcement capacity issues; infolination about the characteristics of sexual assault
perpetrators indicated by testing results; which policies, procedures and protocols are most
effective in the investigation and prosecution of sexual assault cases; results of SAK testing and
follow-up investigation process, including case outcomes; and best practices for sexual assault
victim notification and advocacy, particularly in cold cases.
These research results will drive policy and guide the development of a sexual assault
investigation, victim notification, and prosecution protocol to ensure the right evidence is tested
in a timely manner to ensure case resolution. In the event MCAO is unable to secure research
funds, the multi-disciplinary team will seek assistance from the 13JA Training and Technical
Assistance (TTA) program to evaluate the program measures.
Conclusion
In order to accomplish the aims of the proposed initiative, MCAO is requesting funding
from the New York County District Attorney's Office in the amount of $1,976,885. This
funding will pay for the testing of SAKs by a private laboratory, review by a local government
crime lab, entry of identified DNA profiles into CODIS, and travel for five members of the SAK
Initiative team. It is desired that MCAO will be able to leverage funding received from both the
District Attorney of New York County and the BJA to fully test all untested SAKs and work
collaboratively to establish protocols to help victims of sex assaults and eliminate future SAK
backlogs.
Page 12 of 12
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In year one, the amount of overtime funding requested is calculated: 2.25 hour per kit x 575 kits = 1,293.75
hours which is rounded to 1,294 hours of total overtime x $40.65 per hour of Forensic Scientist overtime =
$52,501.10 that is rounded to $52,601. In year two, the amount of overtime funding requested is calculated:
2.25 hour per kit x 1,725 kits = 3,881.25 hours of overtime which is not rounded x $40.65 per hour of Forensic
Scientist overtime = $157,772.81 that is rounded to $157,773. It is expected that these costs will be incurred
In the third quarter of year one ($52,591) and then continue throughout year two of the project ($157,773).
The total two-year project cost is equal to $210,374 for forensic scientist overtime to review 2,300 kits and
enter results into CODIS.year two of the project ($157,773).
4
A contract accredited forensic scientific laboratory, like Bode Celimark Forensics or Sorenson Forensics, will
conduct SAK testing at a rate of up to $650 per SAK. In year one, It is expected that 575 kits will be sent for
testing x $650 per kit = $373,500. In year two, it Is expected that 1,725 kits will be sent for testing x $650 =
$1,121,250. In total the cost for testing each of the 2,300 kits = $1,495,000.
In order to strictly track the evidence as It Is transferred to and from the private laboratory for testing, MCAO
requests funding for shipping at a roundtrip rate of $90 per SAKx 2,300 SAKs = $207,000 ($51,750.00 in year
land $155,250 in year 2).
The variable fringe benefit amounts for Forensic Science Technician overtime position are calculated as
follows: FICA (Social Security) Ca 6.2% multiplied by the total overtime salary amount of $210,374 = $13,043
($3,261 in year 1, and $9,781 in year 2).
The Bureau of Justice Assistance will conduct a training seminar for participants of the SAK Initiative and the
DOW initiative. Therefore, MCAO has budgeted travel for participants of the project and multi-disciplinary
team to attend a two-day training seminar In Washington, DC in FY 2016. Lodging is based on a per night rate
of $229 x 2 nights per traveler x 3 travelers x 1 trip = $1,374. Meals are based on a daily rate of $71 x 3 days x
3 travelers x 2 trip = $639. Transportation (air fare) is based on a roundtrip flight cost of $522 per traveler x 3
travelers x 1 trip = $1,566. Local travel (shuttle service) is based on $25 per traveler x 3 travelers x 2 shuttle
'trips = $150. The total requested funding for this trip to Washington travel is $3,729.
ARIZONA DEPARTMENT OF PUBLIC SAFETY
2102 WEST ENCANTO BLVD. P.O. BOX 6638 PHOENIX, ARIZONA 85005-6638 (602)223-2000
"CourteousVigilance"
DOUGLAS A. DUCEY FRANK L MILSTEAD
Governor Director
May 19, 2015
Hon. Cyrus R. Vance, Jr.
District Attorney
County of New York
One Hogan Place
New York, NY 10013
RE: DANY Sex Assault Kit Backlog Elimination Program
Dear District Attorney Vance,
I am providing a letter of support for the Maricopa County Attorney's Office (MCAO) with their
proposal for the DANY Sex Assault Kit Backlog Elimination Program.
The Maricopa County Attorney's Office's leadership with victim-focused multi-disciplinary policy
initiatives such as the Maricopa County Felony Domestic Violence Protocol project and the Domestic
Violence Strangulation project make this office ideally suited for leading a multi-disciplinary approach
to developing research-based solutions for addressing the issue of un-submitted sexual assault kits.
The Arizona DPS Crime Laboratory per Arizona Statutes provides scientific analysis of evidence,
including DNA testing, to law enforcement in the State of Arizona. In that capacity, the Crime
Laboratory analyzes sex assault kits to support the prosecution of sex crimes. For purposes of this grant
application, the Lab will also provide expert forensic DNA consultations to aid the grantee in
understanding the strengths and limitations of the potential samples and their subsequent analyses.
Our agency is committed to working collaboratively with the Maricopa County Attorney's Office and
our stakeholder partners to examine and offer viable long term solutions for resolving issues that result
in un-submitted sexual assault kits. Where applicable, we will commit to providing accurate data to
assist with evaluation of the project and the furtherance of cases for investigations and prosecution.
Vincent A. Figarelli
Superintendent
Scientific Analysis Bureau
mgd
PC}LTE DEPP,F;PH
May 19, 2015
Hon. Cyrus R. Vance, Jr.
•District Attorney
County of New York
One Hogan Place
New York, NY 10013
Dear District Attorney Vance:
I am writing this letter of support for the Maricopa County Attorney's Office for
their proposal for the New York County District Attorney's Sexual Assault Kit
Backlog Elimination Program, Maricopa County Attorney's Office's leadership
with victim-focused multi-disciplinary policy initiatives such as the Maricopa
Co-Linty Felony Domestic Violence Protocol project and the Domestic Violence
Strangulation project make this office ideally suited for leading a multi-disciplinary
approach to developing research-based solutions for addressing the issue of
un-submitted sexual assault kits.
Our agency is committed to working collaboratively with the Maricopa County
Attorney's Office and our stakeholder partners to examine and offer viable
solutions for resolving issues that result in un-submitted sexual assault kits.
Where applicable, we will commit to providing accurate data to assist with
evaluation of the project and the furtherance of cases for investigation and
prosecution, as well as reporting requirements under this grant.
Sincerely,
JOSEPH G. YAHNER
Police Chief
MICHAEL PARRA
Commander
Family Investigations Bureau
Recycled Paper
City of Phoenix
POLICE DEPARTMENT
Phoenix 2009
kited
M-Arrericacirt
May 21, 2015
Hon. Cyrus R. Vance, Jr.
District Attorney
County of New York
One Hogan Place
New York, NY 10013
Dear District Attorney Vance:
• I am writing this letter of support for the Maricopa County Attorney's Office for their proposal for
the New York County District Attorney's Sexual Assault Kit Backlog Elimination Program.
Maricopa County Attorney's Office's leadership with victim-focused multi-disciplinary policy
initiatives such as the Maricopa County Felony Domestic Violence Protocol project and the
Domestic Violence Strangulation project make this office ideally suited for leading a multi-
disciplinary approach to developing research-based solutions for addressing the issue of un-
submitted sexual assault kits.
Our agency is committed to working collaboratively with the Maricopa County Attorney's Office
and our stakeholder partners to examine and offer viable solutions for resolving issues that
result in un-submitted sexual assault kits, Where applicable, we will commit to providing
accurate data to assist with evaluation of the project and the furtherance of cases for
investigation and prosecution, as well as reporting requirements under this grant.
Sincerely,
JOSEPH YAHNER
Police Chief
STEVEN ROSER
Lieutenant
Laboratory Service Bureau
j1A33172:\Lab\SupervisoM3317\LetterstWolf, District Attorney Vance Letter 05.21.15.docx
620 West Washington Street e Phoenix, Arizona 85003-2187
Recycled Paper
Sgt. James Markey, M.Ed
Phoenix Police Department (Ret)
Investigative Lead, LLC
13235 N. Verde River Dr. 100-374
Fountain Hills, AZ 85268
May 18, 2015
Hon. Cyrus R. Vance, Jr.
District Attorney
County of New York
One Hogan Place
New York, NY 10013
Dear District Attorney Vance:
I am writing this letter of support for the Maricopa County Attorney's Office for their proposal for the
New York County District Attorney's Sexual Assault Kit Backlog Elimination Program. Maricopa County
Attorney's Office's leadership with victim-focused multi-disciplinary policy initiatives such as the
Maricopa County Felony Domestic Violence Protocol project and the Domestic Violence Strangulation
project make this office ideally suited for leading a multi-disciplinary approach to developing research-
based solutions for addressing the issue of un-submitted sexual assault kits.
Our agency is committed to working collaboratively with the Maricopa County Attorney's Office and our
stakeholder partners to examine and offer viable solutions for resolving issues that result in un-
submitted sexual assault kits. Where applicable, we will commit to providing accurate data to assist with
evaluation of the project and the furtherance of cases for investigation and prosecution, as well as
reporting requirements under this grant.
Respectfully,
James Markey
Owner, Investigative Lead, LLC
Mesii Police Department
Pr) Box 1466
Mesa, Arizona 25_.
n-resaaz.gov
May 19, 2015
Hon. Cyrus R. Vance, Jr.
District Attorney
County of New York
One Hogan Place
New York, NY 10013
Dear District Attorney Vance:
I am writing this letter of support for the Maricopa County Attorney's Office for their proposal
for the New York County District Attorney's Sexual Assault Kit Backlog Elimination Program.
The Maricopa County Attorney's Office's leadership with victim-focused multi-disciplinary
policy initiatives such as the Maricopa County Felony Domestic Violence Protocol project and
the Domestic Violence Strangulation project make this office ideally suited for leading a multi-
disciplinary approach to developing research-based solutions for addressing the issue of un-
submitted sexual assault kits.
Our agency is committed to working collaboratively with the Maricopa County Attorney's
Office and our stakeholder pax tilers to examine and offer viable solutions for resolving issues
that result in un-submitted sexual assault kits. Where applicable, we will commit to providing
accurate data to assist with evaluation of the project and the furtherance of cases for investigation
and prosecution, as well as reporting requirements under this grant.
Respectfully,
47-Lic t.
Lieutenant Frank Hoglund
Director, Mesa Family Advocacy Center
Mesa Police Department
480,544.2211 (tel)
May 18, 2015
Hon. Cyrus R. Vance, Jr.
District Attorney
County of New York
One Hogan Place
New York, NY 10013
Dear District Attorney Vance:
I am writing this letter of support for the Maricopa County Attorney's Office for their proposal for the
New York County District Attorney's Sexual Assault Kit Backlog Elimination Program, Maricopa County
Attorney's Office's leadership with victim-focused multi-disciplinary policy initiatives such as the
Maricopa County Felony Domestic Violence Protocol project and the Domestic Violence Strangulation
project make this office ideally suited for leading a multi-disciplinary approach to developing research-
based solutions for addressing the issue of un-submitted sexual assault kits.
Our agency is committed to working collaboratively with the Maricopa County Attorney's Office and our
stakeholder partners to examine and offer viable solutions for resolving issues that result in un-
submitted sexual assault kits. Where applicable, we will commit to providing accurate data to assist with
evaluation of the project and the furtherance of cases for investigation and prosecution, as well as
reporting requirements under this grant.
Respectfully,
Krista B. Placko
Forensic Scientist Supervisor — Biology
Mesa Forensic Services
Police Department
PHONE 480-312-5000
9065 E. Via Linda FAX 480-312-5047
Scottsdale, AZ 85258 WEB www.scottsdalepd.com
Police Department
May 18, 2015
Hon. Cyrus R. Vance, Jr.
District Attorney
County of New York
One Hogan Place
New York, NY 10013
Dear District Attorney Vance:
I am writing this letter of support for the Maricopa County Attorney's Office for their proposal for the
New York County District Attorney's Sexual Assault Kit Backlog Elimination Program. Maricopa
County Attorney's Office's leadership with victim-focused multi-disciplinary policy initiatives such as
the Maricopa County Felony Domestic Violence Protocol project and the Domestic Violence
Strangulation project make this office ideally suited for leading a multi-disciplinary approach to
developing research-based solutions for addressing the issue of un-submitted sexual assault kits.
Our agency is committed to working collaboratively with the Maricopa County Attorney's Office and
our stakeholder partners to examine and offer viable solutions for resolving issues that result in un-
submitted sexual assault kits. Where applicable, we will commit to providing accurate data to assist with
evaluation of the project and the furtherance of cases for investigation and prosecution, as well as
reporting requirements under this grant.
Respectfully,
R. L. Campbell - #1100
Sergeant Lee Campbell #1100
Scottsdale Police Department
Special Victims Unit
480-312-6311
rcampbell@scottsdaleAZ.gov
May 22, 2015
Hon. Cyrus R. Vance, Jr.
District Attorney
County of New York
One Hogan Place
New York, NY 10013
Dear District Attorney Vance:
I am writing this letter of support for the Maricopa County Attorney's Office for their proposal for the
New York County District Attorney's Sexual Assault Kit Backlog Elimination Program. Maricopa County
Attorney's Office's leadership with victim-focused multi-disciplinary policy initiatives such as the
Maricopa County Felony Domestic Violence Protocol project and the Domestic Violence Strangulation
project make this office ideally suited for leading a multi-disciplinary approach to developing research-
based solutions for addressing the issue of un-submitted sexual assault kits.
Our agency is committed to working collaboratively with the Maricopa County Attorney's Office and our
stakeholder partners to examine and offer viable solutions for resolving issues that result in un- .
submitted sexual assault kits. Where applicable, we will commit to providing accurate data to assist with
evaluation of the project and the furtherance of cases for investigation and prosecution, as well as
reporting requirements under this grant. The Glendale Police Department has been working
collaboratively with the Maricopa County Attorney's Office on the above listed two successful projects
during the last few years.
Respectfully,
Lt. Dave Madeya
Director of the Glendale Family Advocacy Center
Tempe Police Department
Criminal Investigations Bureau
Serving the community since 1894
Hon. Cyrus R. Vance, Jr,
District Attorney
County of New York
One Hogan Place
New York, NY 10013
Dear District Attorney Vance:
I am writing this letter of support the Maricopa County Attorney's Office for their proposal for
the New York County District Attorney's Sexual Assault Kit Backlog Elimination Program.
Maricopa County Attorney's Office's leadership with victim-focused multi-disciplinary policy
initiatives such as the Maricopa County Felony Domestic Violence Protocol project and the
Domestic Violence Strangulation project make this office ideally suited for leading a multi-
disciplinary approach to developing research-based solutions for addressing the issue of un-
submitted sexual assault kits.
It is important to note: our agency, too, is applying for the DAN' backlog grant. We are not in
competition with each other for this grant, but rather we are applying with each other's support
and collaboration. The Tempe Police Department and the Maricopa County Attorney's Office are
committed to working collaboratively with each other and our stakeholder partners to examine
and offer viable solutions for resolving issues that result in un-submitted sexual assault kits here
in Maricopa County. As outlined in our individual grant applications, we both make compelling
points as to why the funding is needed and how it will be used to test untested sex assault kits.
We understand that these types of crimes often have suspects who cross jurisdictional
boundaries—we have a collective responsibility to ensure public safety in our communities
through strong, collaborative working relationships.
Where applicable, we will commit to providing accurate data to assist with evaluation of the
project and the furtherance of cases for investigation and prosecution, as well as reporting
requirements under this grant,
Respectfully,
Angel Carbajal
Assistant Chief of Police
120 East Fifth Street, Tempe, Arizona 85281 + (480) 350-8306 4 Fax (480) 350-8337
www.tempe.gov/police
Sularmtr 6faurt
STATE OF ARIZONA
Scott Bales ADMINISTRATIVE OFFICE OF THE COURTS David K. Byers
Chief Justice Administrative Director
of the Courts
May 21, 2015
Honorable Cyrus R. Vance, Jr.
District Attorney
County of New York
One Hogan Place
New York, NY 10013
Dear District Attorney Vance:
I am writing this letter of support for the Maricopa County Attorney's Office for their proposal
for the New York County District Attorney's Sexual Assault Kit Backlog Elimination Program.
A multi-disciplinary approach to developing research-based solutions for addressing the issue of
un-submitted sexual assault kits is essential for reducing future victimization and promoting
closure for all victims.
As chair of The Commission on Victims in the Courts, I am committed to working in
collaboration with the Maricopa County Attorney's Office and other justice system stakeholder
partners to examine and offer viable solutions for resolving issues that result in un-submitted
sexual assault kits. This will not only assist victims of sexual assault, but also exonerate suspects
who are later discovered not to be a perpetrator.
Respectfully,
Ron Reinstein
Judge, Superior Court of Arizona (Retired)
Judicial Consultant, Arizona Supreme Court
1501 WEST WASHINGTON STREET • PHOENIX, ARIZONA 85007-3231 • 602-452-3300 (TDD) 602-452-3545
May 19, 2015
Hon. Cyrus R. Vance, Jr.
District Attorney
County of New York
One Hogan Place
New York, NY 10013
Dear District Attorney Vance:
I am writing this letter of support for the Maricopa County Attorney's Office for the proposal
for the New York County District Attorney's Sexual Assault Kit.Backlog Elimination Program,
HonorlIealth as a hospital organization, provides medical forensic examinations for.all victims
over the age of 12 in Maricopa County. The multidisciplinary .group responding to sexual assault
in Maricopa County is an ideal candidate to participate in this program. As Supervisor of the
HonorHealth Forensic Nursing Department, I recommend Maricopa County and. this dedicated
team for this research-based program to address the issue of tin-submitted sexual assault kits.
Providing medical. forensic examinations to victims Of sexual assaidt in . Maticopa County Since
1998, HonorH midi. is committed to working collaboratively , with the Marieopa County
Attorney's Office and our stakeholder partners to examine and offer viable solutions for
resolving issues that result in un-submitted sexual.assault kits. Our multidisciplinary team agrees
to provide accurate data to .assist with evaluation and support of the project well as reporting
requirements under this grant.
Sincerely,
Jill Rabic MN-ED, RN, AFN-BC, CPN, SANE-A
May 21, 2015
Hon. Cyrus R. Vance, Jr.
District Attorney
County of New York
One Hogan Place
New York, NY 10013
Dear District Attorney Vance:
I am honored to write this letter of support for the Maricopa County Attorney's Office for their proposal for the New
York County District Attorney's Sexual Assault Kit Backlog Elimination Program. Maricopa County Attorney's
Office's leadership with victim-focused multi-disciplinary policy initiatives such as the Maricopa County Felony
Domestic Violence Protocol project and the Domestic Violence Strangulation project make this office ideally suited
for leading a multi-disciplinary approach to developing research-based solutions for addressing the issue of un-
submitted sexual assault kits.
Arizona Voice for Crime Victims has worked very closely with the Maricopa County Attorney's Office on
numerous occasions as we provide direct representation to victims of crime for the purpose of asserting their rights
under the Arizona Victims' Bill of Rights during criminal prosecutions. I have witnessed the dedication that County
Attorney Bill Montgomery and his office have in seeking justice for victims of crime. We are committed to working
collaboratively with the Mancopa County Attorney's Office and our stakeholder partners to examine and offer
viable solutions for resolving issues that result in un-submitted sexual assault kits. Where applicable, we will
commit to providing accurate data to assist with evaluation of the project and the furtherance of cases for
investigation and prosecution, as well as reporting requirements under this grant.
Please do not hesitate to contact me if you require any additional information. I can be reached at the number above
or on my cell: 480-789-9951.
Sincerely,
Co CCeen CCase
Colleen Clase
Senior Attorney
Arizona Voice for Crime Victims
Arizona Voice for Crime Victims
P.O. Box 12722
Scottsdale, AZ. 85267
480-600-2661
Attachment CI
DANY Sexual Assault Kit Backlog Elimination Grant Program
Quarterly Performance Metrics Report
Definitions
• In a "Forensic Hit" or "Case to Case Match," the new profile matches DNA from
another forensic sample.
• In an "Offender/Arrestee Hit" or "Match to a Known Offender," the new profile matches
the DNA of an offender or arrestee profile already in CODIS (i.e. the match is to a
sample in the offender index).
• In a "Confirmatory Hit," the profile matches with the previously named suspect.
• A "John Doe" warrant or indictment is intended to stop the statute of limitations for an
Unknown offender.
Baseline Grantee Information:
1. Jurisdiction ID
2. Jurisdiction Name
3. Submitter Name
4. How many kits did you apply for funding to test under this grant program?
5. Have the kits that will be tested under this grant been fully inventoried? (Yes/No)
a. If no, how is your inventory process progressing?
For all the following questions, please report only activity that occurred during the most recent
quarter.
Testing and CODIS Hits:
1. Number of kits submitted for testing
2. Number of kits that did not generate any or sufficient DNA for upload
3. Number of kits that produced a CODIS eligible profile
4. Number of DNA profiles entered into CODIS
• 5. Number of hits in CODIS
6. Number of "Forensic" or "Case to Case" matches
7. Number of "Offender/Arrestee Hits" or "Matches to Known Offenders"
• 8. Number of "Confirmatory Hits"
9. Number of CODIS hits that match to a profile associated with another sexual assault case
Victim Notification:
1. Number of victims you jurisdiction attempted to notify following a CODIS hit
2. Number of victims successfully notified following a CODIS hit
3. What is your policy for notifying victims following a CODIS hit? (Please note any trends
that you've observed in victim response and lessons learned from your experience. If
some victims chose not to cooperate with law enforcement following not please
describe any reasons they gave.)
Investigation and Prosecutions:
1. How many cases were re-opened (or opened for the first time) as a result of a CODIS hit?
2. Number of cases beyond the statute of limitations
3. Number of arrests made
4. Number of felony prosecutions commenced
a. Number of prosecutions commenced with homicide as the top charge
b. Number of prosecutions commenced with felony sexual assault as the top charge
c. Number of prosecutions commenced with felony burglary as the top charge
d. Number of prosecutions commenced with felony robbery as the top charge
e. Number of prosecutions commenced with another felony as the top charge
5. Number of misdemeanor prosecutions commenced
6. Number of "John Doe" warrants or indictments obtained
Case Dispositions:
1. Number of cases that resulted in a felony conviction
2. Number of cases that resulted in a misdemeanor conviction
3. Number of cases that resulted in a sexual assault conviction
4. Number of cases that resulted in an acquittal (on all charges)
S. Number of cases that resulted in a dismissal (on all charges)
6. Number of cases in which the CODIS hit identified a different assailant than the one
originally named or prosecuted
7. Number of exonerations
Programmatic Information:
1. How has your jurisdiction coordinated with the other agencies within your multi-
disciplinary strategy this quarter? (Please include the number of stakeholder meetings
• held and the agencies that participated. Include examples of successful coordination
among agencies in your jurisdiction as a result of this project, as well as any challenges
that you have faced)
2. Are all kits associated with a reported crime now submitted to the lab? Are all such kits
tested as they come in? If not, what is the practice?
3. Would your jurisdiction potentially benefit by and utilize training and technical
assistance in any of the following areas if it were available? Check all that apply.
a. CODIS functionality
b. The forklift approach
c. Best practice's training for law enforcement
d. Best practices training for hospital staff
e. Best practices training for victim services staff
f. Best practice training for prosecutors
g. Interagency coordination
h. Identifying additional funding sources
1. Organizational consulting or assistance with process efficiency
J. Other
Attachment C2
DANY Sexual Assault Kit Backlog Elimination Grant Program
CODIS Hit and Case Information Spreadsheet — Required Information
The purpose of this document is to outline the data points that grantees will be
required to provide for each CODIS hit resulting from a sexual assault kit tested
through DA_NY's 'grant program. Please note that grantees will complete the
information listed below in an Excel spreadsheet that DANY will provide.
1. Case # (CODIS ID)
2. Hit Type (Offender, Forensic, Confirmatory)
3. Top Charge Associated with Kit
4. Suspect Age at Crime
5. Victim Age at Crime
6. Total # of Associated Cases in CODIS
7. # of Associated Sexual Assault cases in CODIS
8. List each associated case in CODIS by top charge
9. List all states where defendant profile is associated with a crime in CODIS
10. List all states where convicted of a crime
11. Total # of Out of State Sexual Assault Convictions
12. List All Past Convictions
13. Why wasn't the kit previously tested? (Lack of resources, Case determined
to be unfounded by law enforcement, Law enforcement cited non-credible
victim, Law enforcement cited uncooperative victim, DNA testing was not
available at time of crime, Evidence was not considered probative, Other)
14. If "Other" (ref 14), please describe
15. Describe investigative activities undertaken following DNA testing (i.e.
police file sought, case re-opened, etc.)
16. Did the case associated with this kit result in prosecution following DNA
testing? (Yes, No)
17. If yes, what was the Top Charge and Charge Category (F/M at
commencement?
18. What was the disposition of this case? (Guilty plea, Guilty at trial, Not
guilty at trial, Court dismissal, Hung jury, Mistrial, Other)
19. If "Other" (ref 18), please describe.
20. Top Plea/Conviction Charge
21. Was the victim successfully notified? (Yes, No)
22. Did the victim cooperate with the investigation? (Yes, No)
23. Defendant sentence? (Jail, Prison, Community supervision, Split sentence,
None, Other)
24. Was case outside of the Statute of Limitations? (Yes, No)
25. Did the hit result in an exoneration? (Yes, No)
26. Aside from prosecution, how was hit info used? (Parole/probation
notification, Sex Offender Registry information, Civil commitment, Used
as evidence in another case, Other)
27.1f "Other" (ref 26), please describe.
28. Stranger Assault (Yes, No)
29. Acquaintance Assault (Yes, No)
30. Intimate Partner Violence (Yes, No)
31. Campus Assault (Yes, No)
32. Gang Assault (Yes, No)
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Attachment E
DANY Sexual Assault Kit Backlog Elimination Grant Program
Grantee Fiscal and Performance Metrics Reporting Instructions
Within 30 days of the end of each quarter, Grantees are required to submit three (3)
deliverables to DANY and one thing to DANY's Fiscal Administrator. The things to be
submitted to DANY are: a) an invoice supported by a fiscal cost report, b) a Google
Form survey with aggregate performance data, and c) a spreadsheet with case-specific
information. Only item "a" above is to be submitted to DANY's Fiscal Administrator.
Required performance metrics may be subject to change over the course of the grant
period. It is also required that a Grantee must submit a final report upon completion of
the two-year grant period. Details and instructions for the final report will be made
available during year two of the grant period.
1. Fiscal Cost Report
Accompanying each quarterly invoice, Grantee must complete and submit a fiscal cost
report (Attachment D) that details spending on grant activities for the preceding calendar
quarter. Fiscal cost reports and supporting documentation, under cover of an invoice for
contractual and non-personnel expenditures, must be submitted as an email attachment to
DANY (dnabacklog@dany nyc.gov) and DANY's Fiscal Administrator to
(Yong Hwang@rfcuny.org) or (Viktoriya_Syrov@rfcuny.org), no later than 30 days
after the end of the quarter.
Payment will be remitted by DANY's Fiscal Administrator to Grantee within 30 days of
the invoice due date provided the reimbursement request has been received no later than
the invoice due date and is complete and accurate. Incomplete or inaccurate information
will delay payment. Grantee must provide to the Fiscal Administrator in advance of any
reimbursement requests:
a. Contact information at Grantee organization
b. Federal Tax ID Number
c. EFT for ACH payment (unless check is requested)
2. Google Form: Quarterly Performance Metrics Report
The quarterly survey report consists of data relating to the submission of untested sexual
assault kits (SAKs) to a forensic lab, the upload of SAKs to CODIS, and the investigation
and prosecution of resulting cases during the preceding calendar quarter. Each quarter,
Grantee will receive a link to the Google Form containing the survey. Grantee must
submit the survey through Google Forms no later than 30 days after the end of the
quarter. A complete list of the metrics that will be captured in the quarterly performance
metrics report is provided in Attachment C.1.
3. CODIS Hit and Case Information Spreadsheet
The CODIS hit and case infoimation spreadsheet will contain data about individual
CODIS hits and cases associated with SAKs tested through DANY grant funding. Each
row on the spreadsheet should represent the CODIS hit resulting from a grant-funded
SAK. Grantee should create a new entry in the spreadsheet for each hit, regardless of
whether that hit results in the opening or re-opening of a case or investigation. The
spreadsheet will include information covering a four-year period from the Effective Date
of the Grant Agreement, and older entries will need to be continually updated with new
information as investigations and prosecutions move forward. Within 30 days after the
end of each quarter, jurisdictions should submit a copy of their spreadsheet with all hit
and case information to date to DANY at: dnabacklog@dany.nyc.gov . A list of the
information that will be captured in the CODIS Hit and Case Infounation Spreadsheet is
included in Attachment C.2.
The New York County District Attorney's Sexual Assault Kit Backlog Elimination Program
The New York County District Attorney's Office (DANY) is pleased to announce its Sexual Assault
Kit Backlog Elimination Program of up to $35 million.
Goal of the RFP: The goal of this Request for Proposals (RFP) is to promote strategies to
permanently eliminate the national sexual assault kit (SAK) backlog. Funding awarded through this
program may be used to pay for the cost of testing untested or backlogged SAKs only. Funding may
not be used for related costs such as investigating and prosecuting cases, inventorying SAKs,
creating data- or information-sharing systems, or onsite training. Applicants will be asked to submit
'information about the size and scope of their untested SAKs, current state and/or local SAK testing
policies, and their willingness to follow SAK testing best practices (prescribed in this RFP).
Title: The New York County District Ntorney's Sexual Assault Kit Backlog Elimination Program (SAK
Program or Program)
Eligibility: Applicants are limited to States (including territories), units of local government (including
federally-recognized Indian tribal governments as determined by the Secretary of the Interior), law
enforcement agencies, prosecutor's offices, and public forensic labs.
Deadline and How to Apply: All applications must be submitted through DANY's online grant
administration portal https://app.wizehive.com/apps/whnvcda by June 1, 2015 at 5:00 p.m. EST.
Applications may not be submitted in any other way, and no late applications will be accepted.
Amount and Number of Awards: Each applicant may request up to $2,000,000 for a two-year
period. As resources allow, additional funding may be available through subsequent solicitations to
support additional SAK testing efforts. However, DANY anticipates that applicants may require
significantly lesser amounts of funding. All applicants with untested SAKs that meet the requirements
of this solicitation are encouraged to apply.
Informational Webinar: DANY will host an informational online webinar on April 20, 2015 at 11:00
a.m. EST to provide further information about the SAK Program. Applicants may register for the
webinar at http://tinvurl.com/gqpbove . Applicants are strongly encouraged to participate in the •
information session. The deadline for questions regarding the content of this RFP will be
May 1, 2015.
Bureau of Justice Assistance Sexual Assault Kit Initiative Grant Program
The U.S. Department of Justice's Bureau of Justice Assistance (BJA) recently released its Sexual
Assault Kit Initiative solicitation. DANY and BJA have partnered to ensure coordination between
each agency's respective grant program. However, please note that these efforts are different
funding opportunities and interested applicants should apply to both.
Through our partnership, upon request and with applicant permission, BJA will provide to DANY,
a list of the respondents that submitted applications under BJA's solicitation to coordinate the
selection of grantees and prevent any duplication of services. DANY will maintain the confidentiality
of the applicant jurisdictions and all information contained within the application.
As resources allow, BJA will provide appropriate training and technical assistance (TTA) resources
to the jurisdictions in receipt of DANY SAK funding. The purpose of this technical assistance will
be to provide expert support to DANY grantees as they determine the scope of their untested SAK
inventory, create data- and information-sharing systems, and ensure grantees' adherence to
evidence-based and best practices for the testing and use of SAK evidence. While every attempt
to assist those agencies funded by DANY will be made, the extent of TTA assistance provided by
BJA will be resource-dependent and subject to limitations.
Applicants to DANY's SAK Program must include travel expenses in their proposed budget to
attend one two-day workshop in Washington, DC in FY 2016 through BJA's training and technical
assistance program. The workshop will focus on the elements of a successful project and key
issues around DNA and untested SAK evidence.
Partnerships with Private Forensic Labs
DANY has established agreements with two private forensic labs: Bode Cellmark Forensics and
Sorenson Forensics. Jurisdictions are under no obligation to use these services and must follow any
applicable procurement rules when contracting with any private lab if selected for funding under the
SAK Program. Through these established agreements, grantees of the SAK Program will be eligible
to receive a competitive rate for SAK testing of $550-650 per kit for initial DNA testing. However,
applicants may use an accredited lab of their choice, whether that lab is public or private. No
preference will be given to applicants based on their choice of lab.
Contact Information
For any questions regarding this solicitation or technical difficulties with the online submission portal,
contact dnabacklocadanv.rwc.qov.
Table of Contents
Goal of the REP
Eligibility
Deadline and How to Apply
Amount and Number of Awards
Informational Webinar
BJA Sexual Assaut Kit Initiative
Partnerships with Private Forensic Labs
Contact Information ii
Overview 1
Key Definitions 2
Program-Specific Information 3
What an Application Should Include 5
Selection Criteria 7
Attachments 5 8
Appendix A: Sample Quarterly Performance Measures 9
Appendix B: Terms and Conditions 10
Overview
DNA technology has revolutionized the ability for law enforcement to solve crimes. As that
technology has advanced and improved, there has been a sea change in how the country thinks
about and treats sexual assault cases. There is now a collective recognition that, when tested,
sexual assault kit evidence can identify unknown perpetrators, confirm the presence of known
suspects, affirm a victim's account of an attack, connect evidence from an individual crime scene
to serial rapists, and exonerate innocent suspects.' It is estimated that hundreds of thousands of
untested SAKs exist nationwide; however, there is no comprehensive data on the scope of the
SAK backlog since few state or local governments track and report such inforrnation. 2
DNA from any one jurisdiction's SAKs may help solve crimes across the country. According to
the New York State Division of Criminal Justice Services, 3,121 DNA hits have been generated
in New York from the national DNA databank. 3 In cases where a suspect has not yet been
identified, biological evidence from the crime scene can be analyzed and compared to offender
profiles in DNA databases to help identify the perpetrator. Crime scene evidence can also be
linked to other crime scenes through the use of DNA databases to identify serial offenders. Arrests
for lower-level crimes in one state might help solve a cold case in another state.
New York City was the first major jurisdiction to make a comprehensive effort to eliminate its SAK
backlog. 4 Between 2000 and 2003, New York City sent out approximately 17,000 SAKs for testing,
creating a model for other large cities to tackle their own SAK backlogs. Instead of attempting to
select specific case types for forensic testing, New York-adopted the "forklift method," testing all
SAKs in the backlog regardless of the status or facts of the case. The testing of those SAKs
resulted in over 2,000 DNA matches and 200 cold case prosecutions citywide, 49 from Manhattan
alone. 5 Combined, these offenders are now serving more than 900 years in prison.
Other jurisdictions have made systematic efforts to address their SAK backlogs with similar
success. In 2009, for example, the Wayne County (Detroit, MI) Prosecutor's Office discovered
more than 11,000 untested SAKs during a tour of an abandoned law enforcement agency's
warehouse in Detroit. Wayne County Prosecutor Kym Worthy sought and received funding to test
a random sample of 400 of those SAKs, Which generated such a significant number of leads that
the county was subsequently awarded funds by the U.S. Department of Justice's National Institute
of Justice to test an additional 1,600 SAKs. From the initial 2,000-kit sample, there were 670 DNA
matches in the national DNA database, including hits linking crimes committed in 26 other states.
To date, the Wayne County Prosecutor's Office has identified 188 potential serial rapists, and
obtained 15 convictions. 6
Another recent SAK backlog effort took place in Houston, Texas where federal grant money and
supplemental city funding was used to test 6,663 untested SAKs. Testing from this effort resulted
in 850 matches in the federal DNA database and the prosecution of 29 offenders. 7
DuFour Morrow, Mary. Wayne County Prosecutor's Office. Detroit Rape Kit Initiative. Detroit, Michigan. Print.
2 Investments to Reduce the National Rape Kit Backlog and Combat Violence Against Women. (2015, March 16). Retrieved March
20, 2015, from https://www.whitehouse.govithe-press-office/2015/03116/fact-sheet-investments-reduce-national-rape-kit-backlou-
and-combat-viole •
3 The NYS DNA Databank and CODIS. Retrieved March 20, 2015, from http://www.criminaljusfice.ny.goviforensiddnabrochure.htm
Bashford, M., & Knecht, I., (2013, February 13). New York City's Sekual Assault Kit Backlog Project: Lessons Learned [Webinar].
5 Ibid.
.6 DuFour Morrow, Mary. Wayne County Prosecutor's Office. Detroit Rape Kit Initiative. Detroit, Michigan. Print.
7 Houston. (n.d.). Retrieved March 20, 2015, from http://www.endthebacklou.orufending-backlou-govemment-responses-
local/houston
Key Definitions
The following definitions shall be used in this RFP:
• Untested or backlogged sexual assault kits: "Backlog" and "untested" refer to any SAK
connected to a reported sexual assault that has not been tested within 365 days of being
booked into law enforcement evidence—regardless of the reason why the SAK was not
tested. For example, a SAK that was not tested because the statute of limitations has
expired, in cases where identity of the perpetrator is not an issue, or where the offender
was convicted without DNA evidence would still be considered backlogged or untested. A
tested kit is defined as one that has undergone complete DNA testing by an accredited
forensic lab. Only SAKs where the victim did not consent to testing or where evidence
exists that no crime was committed (e.g., the victim recants or there is video footage
substantiating that no crime was committed) may be excluded from testing.
Multi-disciplinwy strategy: A multi-disciplinary strategy incorporates all critical
stakeholders, including law enforcement, prosecutors, system and community-based
victim advocates, forensic medical personnel and laboratories, and formalizes the process
for coordinating local SAK testing efforts. In some jurisdictions, a working group or task
force may be established.
Forklift approach: A method that embraces the testing of all untested SAKs irrespective of
the type of kit. SAKs should not be excluded from the sample of kits to be tested for
reasons including, but not limited to: expired statute of limitations, perceived weaknesses
in the case, the nature of the victim/defendant relationship, victim cooperation at the time
the crime was reported, previous adjudication of the case, or prior partial forensic testing.
Previous backlog elimination efforts have been very effective by employing the forklift
approach (see Overview section of this solicitation).
• Random sample: A random sample refers to the process of selecting a subset of SAKs in
which each kit in the subset has an equal probability of being selected for testing. For
example, if a jurisdiction receives funding to test one-fourth of its total backlog, the random
sample should include every fourth SAK; if a jurisdiction receives funding to test one-fifth
of its total backlog, the sample should include every fifth SAK, and so on. 8 To that end,
applicants are not permitted to intentionally select a specific case type for testing (e.g.,
stranger cases, cases where the victim is perceived as credible). The only exception to
this approach involves the testing of cases where the statute of limitations will expire within
two years; in these instances, those cases may be prioritized. Note: random sampling
does not apply to jurisdictions that are applying to test their full backlog. In this case, all
SAKs will be transferred for testing.
• System-based vs. community-based victim services agencies: A system-based victim
advocate works within a law enforcement agency, such as a police department or
prosecutor's office, links victims to services and acts as a liaison to victims throughout
the process of investigating and prosecuting a crime. A community-based victim advocate
is usually employed by an independent non-profit agency, and provides ongoing
8 This model was used in Detroit's SAK testing efforts. (See DuFour Morrow, Mary. Wayne County Prosecutor's Office. Detroit Rape
Kit Initiative. Detroit, Michigan. Print).
2
comprehensive support and counseling to victims to address trauma and other needs
resulting from a sexual assault, whether or not the victim reports the crime to law
enforcement.
Combined DNA Index System (CODIS): The Federal Bureau of Investigation's national
DNA database for uploading DNA profiles contributed by participating federal, state, and
local forensic laboratories.
Index Crime Statistics: The Federal Bureau of Investigation's Uniform Crime Report is
comprised of seven index crimes: murder and non-negligent manslaughter, forcible rape,
robbery, aggravated assault, burglary, larceny (theft), and motor vehicle theft.
Lead Applicant The organization or agency submitting this application is the Lead
Applicant. If selected as a grantee, the Lead Applicant holds responsibility for coordinating
the multi-disciplinary strategy, reporting to DANY on a quarterly basis, and liaising with the
BJA training and technical assistance provider (if applicable).
Multi-jurisdictional entity: An applicant to this grant program, such as a state lab or state
Bureau of Investigation that is the Lead Applicant to this solicitation on behalf of multiple
smaller jurisdictions, such as counties or cities.
Program-Specific Information
The goat of the SAK Program is to provide localities with funding to support efforts to permanently
eliminate their SAK backlog, with the ultimate goal of eradicating the national SAK backlog.
Funding awarded through the SAK Program will focus exclusively on the forensic testing
of untested or backlogged SAKs. Funding may not be used for related costs such as
investigating and prosecuting cases, inventorying SAKs, developing data- or information-
sharing systems, or onsite training.
DANY recognizes that many applicants may not currently have a complete inventory of untested
SAKs. All qualified jurisdictions are encouraged to apply for funding, even if the total scope of the
backlog or other pieces of information requested within this solicitation remain unknown.
Successful grantees will be required to track and report on the scope and size of their untested
SAKs throughout the grant process.
DANY has identified several best practices critical to .a successful SAK testing effort, to which
adherence will be required as a part of the SAK Program. These best practices include:
A multi-disciplinary strategy that coordinates law enforcement agencies, prosecutor's
offices, system- and community-based victim advocates, forensic medical personnel and
public laboratories. Jurisdictions such as Detroit and Houston have established processes
to engage key stakeholders in their SAK backlog elimination efforts. 9 In these jurisdictions,
this coordinated Strategy took the form of a multi-disciplinary team or task force.
The adoption of the "forklift approach." The forklift approach is a method that embraces
the testing of all untested SAKs irrespective of the type of kit. The forklift approach has
9 Harvard Kennedy School Webinar: Taking on the Challenge of Unsubmitted Sexual Assault Kits, October 31, 2014.
3
proven effective in New York City, Detroit and Houston. Only in cases where the victim •
did not consent to testing or where evidence exists that no crime was committed may the
SAK be excluded from testing.
A commitment to entering all eligible DNA profiles into the Combined DNA Index System
("CODIS") within a reasonable timeframe.
A commitment to prosecuting and investigating any CODIS hits that result from testing,
including a simultaneous process for notifying law enforcement agencies and prosecutors.
A coordinated strategy to notify and engage victims following a CODIS hit.
Participation in data collection in order to track the outcomes of the SAK Program.
4
What an Application Should Include:
This section describes what should be included in an application. Failure to submit an application
that contains all of the specified elements may negatively affect the review of the application.
1. Program Narrative
The program narrative is a clear, concise narrative in paragraph format that addresses the
questions and guidelines outlined below. DANY recognizes that some applicants may not be able
to answer all of the questions. Applicants are encouraged to use these questions as a guide for
their response.
The program narrative should be double-spaced, using standard 12-point font (Times New
Roman is preferred) with 1-inch margins, and should not exceed 15 pages. Pages should be
paginated.
A. Proposer Information
i. Describe the function of your agency or organization.
ii. Provide information about the jurisdiction. Report the population size and index crime
statistics, including yearly sexual assaults .reported for each year for the past five
years.
iii. Summarize the relevant statutes of limitations for prosecuting sexual assault crimes
in your jurisdiction.
iv. Describe any previous or ongoing efforts to test untested SAKs and investigate any
resulting hits.
B. Background
i. Provide information about your jurisdiction's current backlog. Responses should
include the number of untested SAKs in your jurisdiction, the number of untested
SAKs that you propose will be tested under this grant program, and an explanation
of where these SAKs are located (e.g., law enforcement agency storage, public lab,
hospital or clinic). If the exact numbers of SAKs is unknown', please provide estimates.
ii. Describe approximately how long the SAKs have remained untested.
iii. Does your jurisdiction have an official or unofficial policy-or practice around SAK
testing (e.g., test every case as it is submitted, test only stranger cases, test only
upon law enforcement agencies' request)?
iv. Approximately how many new SAKs are collected in your jurisdiction each year?
Approximately how many of those are tested within one year? On average, how long
does it take a sexual assault kit to be tested? Please describe the process.
C. Proposed Approach
i. Describe how you will employ a multi-disciplinary strategy. How will you engage key
stakeholders including law enforcement, prosecutors, system and community-based
victim advocates, labs and the governing body to ensure accountability, information
and data sharing and adherence to a victim-centered approach? If you are a multi-
jurisdictional entity such as a state or a county, how will you work with the individual
localities within your jurisdiction?
ii. Describe your jurisdiction's plan to inventory, track and analyze your backlog. Please
address the following issues:
5
• Has your jurisdiction inventoried its untested SAK inventory? If yes, describe
the nature of the current SAK backlog inventory. If not, describe the strategy
and timeline for conducting an inventory. For multi-jurisdictional applicants
only, what steps will be taken to gather inventory information from all localities?
• How will batches of SAKs be selected for testing? Will a random sampling
methodology be employed?
• Where will SAKs be sent for testing? Please specify if the lab is public or
private. If private, has your jurisdiction previously outsourced the testing of
SAKs to a private lab? If so, which lab(s) has your jurisdiction used and is there
a contract currently in place?
• How will SAKs be tracked throughout the process of inventorying, transporting,
testing, and uploading profiles into CODIS? For example, does a case
management system currently exist? If not, will one be established?
iii. How will law enforcement and prosecutors investigate and prosecute the cases that
result from CODIS hits on SAKs tested through the SAK Program? For example,
some jurisdictions have formed cold case units that specialize in investigations and
prosecutions involving DNA evidence. In addition, describe how law enforcement
agencies and prosecutors will be notified in the event of a CODIS hit.
iv. How will victims be notified in the event of a CODIS hit? What services will be
available to victims and how will they be administered?
v. Describe any potential barriers to success in your jurisdiction and how they will be
addressed.
D. Sustainability
What steps will be taken to ensure that a new backlog does not form after the completion
of this project?
E. Timeline
Attach a brief, estimated timeline for this project outlining key deliverables of this grant
program. Important milestones may include the inventory of SAKs, procurement of lab(s),
transfer of first batch of SAKs to lab and each subsequent batch. The length of this project
must not exceed two years; however, DANY requires grantees to provide follow-up data
in the two years following the grant period.
F. Performance Measures
As part of grantees' performance measurement, all grantees will be required to provide
information to DANY on a quarterly basis during the grant period and follow-up data in the
two years following the grant period. The Lead Applicant will be responsible for submitting
this information to DANY; however, gathering this information may require cross-agency
collaboration. Grantees will be expected to report on metrics in the following areas: (i) SAK
and CODIS information, (ii) arrests and dispositions based on CODIS hits, (iii) victim
notification in the event of a CODIS hit, (iV) victim characteristics, and (v) victim/defendant
relationship, in addition to qualitative process measures regarding the overall progress of
the project during the reporting period.
See Appendix A for a sample list of performance measures required under the SAK
Program. Please note that this list is intended as a sample of potential performance
measures DANY will require under the SAK Program and subject to change.
6
i. Describe your jurisdiction's capacity to track and report on the proposed performance
measures for this Program.
ii. If the Lead Applicant does not hold the data requested of grantees, explain how cross-
agency reporting will be coordinated.
2. Budget Detail Worksheet and Narrative
Funding awarded through the SAK Program will focus exclusively on the forensic testing of
untested SAKs. This includes postage to ship SAKs to a forensic lab, initial DNA testing in a
public or private forensic lab, technical review and CODIS profile uploads by a certified lab.
Funding may not be used for related costs such as investigating and prosecuting cases,
creating data- and information-sharing systems, onsite training, etc. Additionally, funds may
not be used to supplant existing resources. If your jurisdiction proposes to use funds from
this grant to test untested SAKs through its public lab, funds may not be used to supplant
existing personnel. Applicants may only use the funds to pay for overtime or contract
personnel services over and above the lab's current capacity.
• Budget Detail Worksheet and Narrative
The budget narrative should thoroughly and clearly describe every category of expense
listed in the Budget Detail Worksheet. DANY expects proposed budgets to be complete,
cost effective, and allowable within the parameters of this grant program.
Each application must provide an estimate or confirmed number of SAKs requiring
forensic DNA testing and the approximate costs for the testing process, to include actual
testing costs, and costs associated with review of outsourced lab data (if applicable) and
CODIS upload. Additionally, each application should include estimated costs associated
with travel for a small delegation to attend a 2-day workshop hosted by BJA in Washington,
DC in FY 2016.
Selection Criteria
• Program Narrative (90%, divided)
o :Proposer Information: 10%
9 Background: 10%
o Proposed Approach: 45%
o Sustainability: 10%
o Timeline: 5%
o Performance Measurement: 10%
• Budget Detail Worksheet and Narrative (10%)
Attachments
Applicants should use appropriately descriptive file names, including the name of the section and
the Lead Applicant (e.g., "Program Narrative_NY County DA," "Budget Detail Worksheet and
Narrative_NY County DA," "Timeline NY County DA,") for all attachments.
7
• Applicants must submit individualized, signed letters of commitment from the agency or
agencies that possess untested SAKs, the crime laboratory that provides DNA services to
the law enforcement agency, the prosecutor's office, and a community-based victim
services organization stating their commitment to the project as presented in the
application. Where applicable, letters of commitment must include an explicit commitment
from each agency to share relevant data with the Lead Applicant for reporting purposes
under the SAK Program.
• Timeline
Budget worksheet and narrative
8
Appendix A:
Sample Quarterly Performance Measures
tSe)!-Zdat,IATaablOkitlildfC0DISIIiifciffilatlirn
1. # of kits inventoried
2. # of kits tested (overall)
3. # of kits tested in the past 3 months
4. # of kits still untested (current backlog)
5. # of untested kits planned for testing in next 3 months
6. # of DNA profiles entered into CODIS
7. # of hits in CODIS
AiTelits a ri clOirloificifi S, (Ftts ,:d ari C3SeE; ii FL reEult(ifti-r-(corits eMiti!,i2 , pi-.5file,sbitr),
'Ecif:each . , cqs e" v.itt) , rItultiplo , d-Jcolitlt.,,:,ple coiti it e:acti dael'iciant separately. Alsetai -*ten ....... . ants , \ : lj • . ... count , ,:.-i.._„, -
.c.aqt- 14;.44441Y.tA11,01o.ti)c-t fp.110.Ario9 p.c.tkWin okily to tf -je FE.:,,..1u4;.; Of,,A,KS,t(:::4,0'llii,pujb;„.Wct Iii,AstA5(SZ\KRI-4_01f). -315:',
8. # of misdemeanor arrests
9. # of felony arrests
10. # of misdemeanor cases (based on top screening charge) accepted for prosecution
11. # of felony cases (based on top screening charge) accepted for prosecution
12. # of cases (all categories) declined at initial screening
13. # of cases in which defendant(s)' have been indicted (or equivalent)
14. # of cases dismissed
15. # of cases resulted in guilty plea convictions
16. # *of cases resulted in trial convictions
17. # of cases resulted in acquittals
18. # of exonerations •
`.06-A7cfe'Deci .iptign. (Etase`dTii-i6'aq:, ,i,..her S7,tIK6Fei -oTRH!rh . copis'leilb,16,fircifreki )'
f :e-vi'::,e the:tiiiiewifi'g r;ecitC:4cijesiba.7,cd,,ot o p,...,.r-c...11:sc.'o1.1.;:.;lif..-.ft3reIkCiuJinq,4101-.1e;-s,, 'arrici1itICILiciei, a1,! e e„anl cnaige..categalie:',. ,
19. # of cases with top screening charge "Rape in the third degree" ,
20; # of cases with top screening charge "Rape in the second degree"
21. # of cases with top screening charge "Rape in the first degree"
22. # of cases with top screening charge "Criminal sexual act in the third degree"
23. # of cases with top screeriing charge "Criminal sexual act in the second degree"
24. # of cases with top screening charge "Criminal sexual act in the first degree"
• 25. # of cases with top screening charge "Ag.gravated sexual abuse in the third degree"
26. # of cases with top screening charge "Aggravated sexual abuse in the second degree" .
27. # of cases with top screening charge "Aggravated sexual abuse in the first degree"
a91611KNblifintliiif tBalddrobrbrenSiirereISAKRMtafinA0118,10.4blel3Mn
- 28. # of attempted notifications to-victims about a hit '
29. # of successful notifications fo victims about a hit
30. # of victims cooperating with investigation/prosecution .
WialWrOhTratieligtinfilaraeat age A: s ItallinVDOISTeliMbleTtiibillEgralq ,'.
31: # of female victims
32. # of male victims
kirefeTifiapfkchateeratiORBFWA relSADMICedli -M-Opiastidibla1512Ptitanri --
33. # of female defendants
34. # of male defendants
35. # of non-Hispanic Black defendants
36. # of Hispanic defendants (including Hispanic Black and Hispanic White)
37. # of Asian defendants
38. # of non-Hispanic•VVhite defendants
39., # of defendants under 18 years of age at the time of arrest
40. # of defendants with any previous conviction history
41. # of defendants with previous sexual offense conviction history
42. # of defendants with previous domestic violence conviction history
DZIair D':eirfOWIC,11Mreitis'Itiip
gl(i -4:3•Ad CV 'Ca.S,C.::L\'•,:tielk:i F.411;;461.i.6.4fjab.bEa.itligibiu,1)1,dfiL.A .,ciilly)
43. # olintimate-partner cases
44. # Of acquaintance cases
45. # of stranger cases
9
Appendix B:
Terms and Conditions
1. The New York County District Attorney's Office's (DANY) decisions on all applications are final.
DANY has complete discretion with respect to all decisions on all applications.
2. No applicant has a cause of action arising out of DANY's decision as to its application.
3. DANY reserves the right to postpone or cancel this RFP, in whole or in part, for any reason and at
any time, and reserves the right to reject all applications it receives. .
4. Applicants shall not be reimbursed for-any costs incurred in connection with their applications.
5. Any applicant may withdraw its application only by submitting a written notice of withdrawal to
DANY prior to DANY's communication to the applicant of DANY's decision with respect to the
• application. •
6. New York law shall govern any disputes arisirig out of this RFP, and New York State Supreme
Court located in New York County shall have exclusive jurisdiction over any such disputes.
10