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Evaluation of DoD Law Enforcement Organization Submissions of Criminal History Information to the Federal Bureau of Investigation (DODIG-2020-064)

Evaluation

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Publicly Released: February 25, 2020

 

Objective

 The objective of our evaluation was to determine whether the DoD and its law enforcement organizations (LEOs):

  •  complied with Federal law and DoD policy for submitting the following DoD criminal history information to the Federal Bureau of Investigation (FBI) for entry into its criminal history databases:
    • Fingerprints and offender final disposition reports;
    • Deoxyribonucleic Acid (DNA) information;
    • Sex Offender Registration and Notification Act (SORNA) information;
    • Gun Control Act information; and
  •  Implemented policies, processes, training, and management oversight procedures to enhance the DoD collection and submission of criminal history information to the FBI.

Our review covered from January 1, 2015, through February 28, 2018.

 

Background

The FBI manages criminal history information submitted by LEOs across the Federal, state, local, and tribal governments. Federal law and DoD policy require that LEOs collect and submit criminal history information, such as fingerprints, final disposition reports, DNA, sex offender information, and Gun Control Act information, to the FBI for entry into its databases when an offender is arrested, detained, indicted, or convicted.

In prior evaluation reports, the DoD OIG found repeated deficiencies with the Military Services’ submission of required fingerprint cards, final disposition reports, DNA, and other criminal history information to the applicable FBI databases. We discuss these reports in detail in the Background section of this report.

Failure to collect and submit the required criminal history information, such as fingerprints and final disposition reports, to the FBI Criminal Justice Information Service (CJIS) Division, can have serious consequences. For example, fingerprint and final disposition report information is checked by Federal Firearms Licensees (FFL) to determine whether a prospective purchaser is eligible to receive firearms. In one tragic event, the Air Force failed to submit the fingerprints and final disposition report of Devin Patrick Kelley, a former Air Force member who had been convicted of domestic violence and discharged from the Air Force, to the FBI. This omission allowed Kelley to pass a background check and purchase firearms from a FFL. On November 5, 2017, Kelley used the firearms he purchased to kill 26 people and wound more than 20 others at the First Baptist Church of Sutherland Springs, Texas.

To assess whether LEOs have implemented policies and processes to help ensure compliance with federal law and DoD policy, the DoD OIG initiated this broad evaluation of the DoD policies and processes for submitting various categories of criminal history information to the applicable FBI databases.

 

Findings

We determined that, with some exceptions, DoD law enforcement organizations made the required submissions of fingerprints, final disposition reports, and DNA samples to the FBI.  We also determined that, with the exception of the Navy Security Forces, the DoD LEOs implemented new policies, processes, training, and management oversight procedures, such as supervisory reviews, to address previous deficiencies and ensure that the DoD collects and submits criminal history information to the applicable FBI databases as required.

 

Recommendations

Fingerprints and Final Disposition Reports

We recommend that the Secretary of the Navy:

• Ensure that the Navy Security Forces updates its training to include instruction on fingerprint card and final disposition collection and submission to the applicable FBI CJIS Division database.

• Take action to establish management oversight procedures to ensure that fingerprints and final disposition reports are collected and submitted to the applicable FBI CJIS Division databases.

Deoxyribonucleic Acid (DNA)

 We recommend that the Secretaries of the Army, Navy, and Air Force, and the Commandant of the Marine Corps take action to collect and submit the 6 missing DNA samples to the USACIL for entry into the FBI CODIS.

We recommend that the Secretary of the Navy ensure that Navy Security Forces:

 • Collect and submit DNA samples for qualifying offenses to the USACIL for entry into the FBI CODIS.

 • Establish policies, processes, training, and management oversight procedures for collecting and submitting DNA to the USACIL for entry into the FBI CODIS.

We recommend that the Defense Criminal Investigative Service Director take prompt action to collect and submit the five missing DNA samples to the USACIL for entry into the FBI CODIS.

Sex Offender Registration & Notification Act (SORNA)

We recommend that the Secretary of the Army and the Secretary of the Navy revise Army and Navy policy to require the DD Form 2791, “Notice of Release/Acknowledgement of Convicted Sex Offender Registration Requirements,” be provided to the U.S. Army Crime Records Center and the Naval Criminal Investigative Service, respectively, and the U.S. Marshals Service.

The Gun Control Act of 1968

We recommend that the Under Secretary of Defense for Intelligence:

• Revise DoDI 7730.47 and DoDM 7730.47‑M, Volume 1, to require the submission of Brady Act information to the FBI for entry into the National Instant Criminal Background Check System, and establish roles and responsibilities for the submission of Brady Act information to the applicable FBI databases to make it available to the National Instant Criminal Background Check System.

• Determine whether the Defense Incident Based Reporting System should be used for reporting Brady Act information to the applicable FBI databases to make it available to the National Instant Criminal Background Check System.

 

Management Comments and Our Response

Fingerprints and Final Disposition Reports

 The NCIS Executive Assistant Director, responding for the Secretary of the Navy, agreed with the recommendation to take prompt action to update the Navy Security Forces training to include instruction on fingerprint card and final disposition collection and submission to the FBI; and to establish management oversight procedures to ensure that fingerprints and final disposition reports are collected and submitted to the FBI. Comments from the NCIS Executive Assistant Director partially addressed the recommendation; however, the comments did not provide details on the corrective actions the Navy will take to implement this recommendation. Therefore, the recommendation is unresolved. We request that the Secretary of the Navy provide comments to the final report that details how the Navy will implement the recommendation and an expected completion date.

Deoxyribonucleic Acid (DNA)

The Provost Marshal General, responding for the Secretary of the Army, agreed with the recommendation to submit the three missing Army DNA samples stating that one DNA sample was obtained by civilian authorities for an unrelated crime and submitted to a civilian laboratory that recently uploaded the sample to the Federal Bureau of Investigation Combined DNA Index System (FBI CODIS). One offender is being sought by the U.S. Marshals Service for failing to register as a sex offender; upon his arrest, the jurisdiction where the offender ultimately registers as a sex offender is required to collect and submit his DNA sample to the FBI CODIS. The other offender was discharged and the Army no longer has the legal authority to collect the DNA samples. Comments from the Provost Marshal General addressed all specifics of the recommendation and the recommendation is closed.

The NCIS Executive Assistant Director, responding for the Secretary of the Navy, agreed with the recommendation to ensure that the Navy Security Forces collect and submit DNA samples; and establish policies, processes, training and management oversight procedures for collecting and submitting DNA to the USACIL for entry into the FBI CODIS. The NCIS Executive Assistant Director stated that the NCIS CJIS Systems Officer will assist the Navy Security Forces in implementing the recommendation. Comments from the NCIS Executive Assistant Director partially addressed the recommendation; however, the comments did not provide details on the corrective actions the Navy will take to implement this recommendation. Therefore, the recommendation is unresolved. We request that the Secretary of the Navy provide comments to the final report that detail how it will implement the recommendation and an expected completion date.

The Air Force Inspector General, responding for the Secretary of the Air Force, agreed with the intent of the recommendation to take prompt action to submit the two missing Air Force DNA samples to the USACIL. However, the Air Force Inspector General stated that since the former members are no longer members of the military and the Air Force has no authority to collect a DNA sample from them, the collection of the DNA is not achievable. Comments from the Air Force Inspector General addressed all specifics of the recommendation; therefore, the recommendation is closed.

The Marine Corps Assistant Deputy Commandant for Plans, Policies, and Operations (Security Division), responding for the Secretary of the Navy and Commandant of the Marine Corps, agreed with the recommendation and described efforts to collect the missing DNA sample from the offender who refused to provide it. Comments from the Marine Corps Assistant Deputy Commandant for the Security Division addressed all specifics of the recommendation; therefore, the recommendation is closed.

The DCIS Director agreed with the recommendation to collect and submit the five missing DNA samples to the USACIL for entry into the FBI CODIS, and described a corrective action plan to obtain the missing DNA samples. The offenders in the DCIS cases are awaiting sentencing and still subject to Federal jurisdiction. DCIS will attempt to collect the DNA at the sentencing hearing. Comments from the DCIS Director addressed all specifics of the recommendation; therefore, the recommendation is resolved but will remain open. We will close the recommendation once we verify that the five DNA samples have been collected and submitted to the FBI CODIS.

Sex Offender Registration & Notification Act (SORNA)

 The Provost Marshal General, responding for the Secretary of the Army, agreed with the recommendation to require the Army to revise its Sex Offender Registration and Notification policy stating that the policy is being revised to require the DD Form 2791 be forwarded to the U.S. Army Crime Records Center and the USMS, and that the Army has issued interim guidance to its law enforcement organizations for the DD Form 2791 process. Comments from the Provost Marshal General addressed all specifics of the recommendation; therefore, the recommendation is resolved but will remain open. We will close the recommendation once we verify that the Army has published a revised AR 190-47 incorporating the requirements to send the DD Form 2791 to the U.S. Army Crime Records Center and the USMS Targeting Center, as required by DoDI 5525.20.

The NCIS Executive Assistant Director, responding for the Secretary of the Navy, agreed with the recommendation to require the Navy to revise its Sex Offender Registration and Notification policy to ensure the DD Form 2791 is sent to the NCIS and the USMS National Sex Offender Targeting Center, as required by DoDI 5525.20, stating that the Navy will revise its policy once the DoD policy is revised. Comments from the NCIS Executive Assistant Director partially addressed the recommendation; however, the comments did not describe interim actions the Navy will take to notify the appropriate agencies before the DoD and Navy policy revisions are complete. Therefore, the recommendation is resolved but will remain open. We request that the Secretary of the Navy provide comments to the final report that describe interim actions the Navy will take to ensure that the DD Form 2791 is forwarded to the appropriate offices until such time that the DoD and Navy policies are updated. We will close the recommendation once the Navy publishes its revised Sex Offender Registration and Notification policy.

The Gun Control Act of 1968

 The Defense Intelligence, Counterintelligence, Law Enforcement and Security Director, responding for the Under Secretary of Defense for Intelligence, agreed with the recommendation to revise DoD policy to require the submission of Brady Act information to the FBI for entry into the NICS, and to establish roles and responsibilities for submitting Brady Act information to the FBI for entry into the NICS. The Director stated that his office anticipates drafting a DoD Policy Directive on NICS requirements no later than June 2020. The response addressed all specifics of the recommendation. Therefore, the recommendation is resolved but will remain open. We will close the recommendation once we verify the DoD Policy Directive, addressing submission requirements, is published.

 The Defense Manpower Data Center Director, responding for the Under Secretary of Defense for Personnel and Readiness, stated that DoD transferred responsibility for all Law Enforcement programs and policies, including responsibility for the DIBRS system, to the Under Secretary of Defense for Intelligence and that the Under Secretary of Defense for Intelligence is responsible for determining the best method for reporting Brady Act information. As a result of management comments, we redirected the recommendation to the Secretary of Defense for Intelligence, who has the authority to implement the recommendation. Therefore, the recommendation is unresolved. We request that the Under Secretary of Defense for Intelligence provide comments to the final report to detail how this recommendation will be implemented and an expected completion date.

 

This report is the result of Proj. No. 2018C008