DNA Evidence:

DOJ Should Improve Performance Measurement and Properly Design Controls for Nationwide Grant Program

GAO-19-216: Published: Mar 21, 2019. Publicly Released: Mar 21, 2019.

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State and local crime labs analyze DNA evidence from crime scenes to help bring criminals to justice. At the end of 2017, these labs had about 169,000 backlogged requests for DNA analysis.

While labs are doing more work, requests have increased in part because scientific advancements have made DNA analysis more useful.

Also, thousands of sexual assault kits haven't even been submitted to crime labs for DNA analysis. We looked at why these kits stay in storage and recent efforts to get them submitted.

We recommended that the Department of Justice improve its management of a grant program intended to help labs process DNA requests.

Crime scene evidence in storage

Crime scene evidence in bags and boxes on shelves.

Crime scene evidence in bags and boxes on shelves.

Multimedia:

Additional Materials:

Contact:

Gretta L. Goodwin
(202) 512-8777
goodwing@gao.gov

 

Office of Public Affairs
(202) 512-4800
youngc1@gao.gov

What GAO Found

GAO found that the reported number of backlogged requests for crime scene DNA analysis at state and local government labs has increased by 85 percent from 2011 through 2017, the most recent full year for which grantee data were available (from about 91,000 to about 169,000). This growth has occurred despite labs' collectively processing more requests over time, as shown below.

Requests for Crime Scene DNA Analysis, Requests Completed, and Backlogged Requests at State and Local Government Labs (2011-2017)

HL_5 - 102274

a“DNA requests” means requests for biology screening and/or DNA testing such that if a request requires one or both, it is counted once.

bSome requests may be closed by administrative means rather than through analysis, such as when a suspect pleads guilty before the evidence is analyzed or when the victim has not consented to participate in the criminal justice process. These requests are included in the number of requests received but are not included in the number of requests completed.

cThe National Institute of Justice (NIJ) defines a “backlogged” request for crime scene DNA analysis as a request that has not been closed by the issuance of a report to the submitting agency within 30 days of receipt in the lab.

GAO found that the Office of Justice Programs (OJP)—the primary grant-making arm of the Department of Justice—has not consistently documented program-wide goals for its DNA Capacity Enhancement and Backlog Reduction grant program (CEBR). For example, it has documented different meanings of “capacity enhancement.” Additionally, CEBR performance measures do not fully reflect selected attributes of successful performance measures, such as having measurable targets. These issues hinder OJP's ability to assess program results.

GAO found that OJP has designed controls to achieve its objectives related to compliance with selected requirements for transparency in grantee procurement that apply to both OJP and CEBR grantees. However, OJP has not properly designed all controls related to selected requirements for conflicts of interest and lobbying. While OJP has designed a control to review confidential financial disclosure reports submitted by OJP employees who administer CEBR grants, OJP does not have the required documentation designating which officials are authorized to certify these reports. Similarly, OJP has designed controls to obtain required lobbying certification and disclosure forms from grantees, but OJP has not taken steps to ensure that grantees collect and forward to OJP, as appropriate, these forms from subgrantees and contractors, as required.

Why GAO Did This Study

Many state and local government crime labs continue to have backlogs of requests for crime scene DNA analysis, which may include sexual assault kits, despite DOJ awarding nearly $1 billion since 2004 through the CEBR grant program to enhance lab capacity and reduce backlogs. Additionally, questions have been raised about potential improper connections among those who profit from CEBR grants—such as private labs and DNA equipment vendors—and those who advocate for CEBR funding.

This report examines, among other things, (1) what is known about the amount of backlogged DNA evidence at state and local government labs; (2) the extent to which OJP measures CEBR grant performance; and (3) the extent to which OJP has designed controls to identify conflicts of interest related to CEBR grants. GAO reviewed CEBR grantee data on DNA evidence backlogs from 2011-2017 (the most recent years of comparable data). GAO reviewed documentation on CEBR performance and controls related to conflicts of interest, transparency in grantee procurement, and lobbying. GAO also reviewed relevant reports and studies, and interviewed officials from DOJ.

What GAO Recommends

GAO is making four recommendations. OJP should (1) consistently document CEBR goals, (2) revise CEBR performance measures, (3) document its designation of confidential financial disclosure certifiers, and (4) clarify guidance for lobbying requirements for CEBR grantees. DOJ concurred with all four recommendations.

For more information, contact Gretta L. Goodwin at (202) 512-8777 or goodwing@gao.gov.

Recommendations for Executive Action

  1. Status: Open

    Comments: When we confirm what actions the agency has taken in response to this recommendation, we will provide updated information.

    Recommendation: The Principal Deputy Assistant Attorney General for OJP should consistently document CEBR program-wide goals to clarify intended program results. (Recommendation 1)

    Agency Affected: Department of Justice: Office of Justice Programs

  2. Status: Open

    Comments: When we confirm what actions the agency has taken in response to this recommendation, we will provide updated information.

    Recommendation: The Principal Deputy Assistant Attorney General for OJP should ensure that performance measures for each CEBR program-wide goal fully reflect appropriate attributes of successful performance measures. (Recommendation 2)

    Agency Affected: Department of Justice: Office of Justice Programs

  3. Status: Open

    Comments: When we confirm what actions the agency has taken in response to this recommendation, we will provide updated information.

    Recommendation: The Principal Deputy Assistant Attorney General for OJP should document which employee positions have been delegated certification (final signature) authority for confidential financial disclosure reports and specify required levels of review and approval. (Recommendation 3)

    Agency Affected: Department of Justice: Office of Justice Programs

  4. Status: Open

    Comments: When we confirm what actions the agency has taken in response to this recommendation, we will provide updated information.

    Recommendation: The Principal Deputy Assistant Attorney General for OJP should (1) clarify its guidance to grantees to specify what their requirements are under 28 C.F.R. pt. 69 with regard to obtaining lobbying certification documents, and obtaining and forwarding to OJP lobbying disclosure forms, from tiers beneath them; and (2) design a control to follow-up with grantees to help ensure they are meeting these requirements. (Recommendation 4)

    Agency Affected: Department of Justice: Office of Justice Programs

 

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