John W. Hicks, BS, MPA
Deputy Director, Alabama Department of Forensic Sciences
The Alabama DNA Database Act calls for the collection of DNA specimens from persons convicted of felony offenses to be typed and maintained by the Alabama Department of Forensic Sciences (ADFS) in a computer database. The data system is to be compatible with CODIS, a national system being developed by the Federal Bureau of Investigation (FBI) in cooperation with the states.
The stated purpose of the database is to provide law enforcement agencies with the latest technology with which to identify, apprehend and convict violent offenders, especially repeat and habitual offenders. While the Act includes all persons convicted of a felony offense, it takes special notice of those convicted for sex-related crimes, other violent crimes and personal crimes enumerated in Code of Alabama 1975 § 13A-6, including inchoate crimes (including misdemeanor offenses) related to § 13A-6.
The Act grants certain authority to the Director, ADFS, to establish the database, promulgate rules and request the submission of DNA samples from certain individuals. Under Section 1 (e) of the Act, its provisions are to be liberally construed in the public interest. While these provisions provide managerial discretion to the Director, decisions and policies are subject to review through publication and distribution under a state Administrative Procedures Act. In addition, the Alabama Attorney General has been requested to review certain policies and procedures to insure compliance with the law.
In October 1994, at the request of ADFS, the Alabama Department of Corrections began collecting DNA blood specimens by venipuncture from inmates on intake at the state's correctional institutions or prior to their release. Since September 1994, ADFS has collected DNA blood specimens on request from individuals who have made application for pardon with the Alabama Board of Pardons and Paroles. Felons who wish for restoration of rights upon completion of sentence must make application to the Alabama Board of Pardons and Paroles (ABPP) for pardon. It is the policy of ABPP that a pardon application will not be considered unless the applicant has demonstrated compliance with the DNA Act, including applications from those convicted of felonies under federal law. In order not to delay pardon applications, the Department of Forensic Sciences has scheduled and drawn blood specimens from these individuals upon request.
To date, collections have not yet begun from individuals under suspended sentence, or on probation or parole as of the date of passage of the database law. This delay is due in part to the logistics involved in scheduling and drawing blood specimens. The ADFS has assumed the responsibility for costs associated with specimen collection. Accordingly, providing DNA blood collection kits to law enforcement agencies and requiring them to bear the cost of collection was not considered. It is anticipated that studies underway to evaluate buccal swab collection systems will soon be completed which will permit swabs as an alternate means for sample acquisition by other criminal justice agencies. ADFS will provide collection and shipping supplies for swab collection at that time.
As of October 6, 1995, 15,171 blood specimens have been collected. Of these, 13,610 have been DNA typed or prepared for storage according to the prioritization scheme described below in the "Offender Priorities" portion of this paper.
At the initiation of the program, a decision was made to utilize a commercial laboratory under contract to process the offender specimens collected under the Act. This was done primarily because the department did not have the staff, facilities or STR expertise to perform tests on the volume of samples expected and the desire to begin accumulating DNA identification data for investigative support purposes as quickly as possible. This aspect of Alabama's DNA database program is described further in the "Discussion" section.
OFFENDER PRIORITIES AND DNA TYPING STRATEGIES
As stated above, the Alabama law calls for collection of DNA specimens from all felony offenders and offenders convicted of sex-related and other misdemeanors. It has been conservatively estimated that more than 60,000 offenders were immediately subject to collection under the law with 15-20,000 new offenders each year. To manage costs and to focus effort on violent crimes against persons, ADFS has established the following priority system to process the DNA blood specimens which are collected:
Group I includes all DNA specimens from those convicted of offenses described in the Alabama Department of Corrections records systems as personal crimes and crimes described in Code of Alabama § 13A-6. Group I offender samples are DNA typed using the three RFLP standard loci specified in the CODIS standards (D2S44, D10S28, and D4S139) and the CTT STR triplex. To date, approximately 3200 samples have been DNA typed in this category.
Group II includes those convicted of burglary I, II or III and Robbery III (Robbery I and II are included in Group I). These specimens are DNA typed with a lower degree of specificity than the Group I specimens using only the CTT triplex. The DNA tests used on the Group II specimens are thirty-three percent less expensive than the Group I test battery. If a match with a crime scene DNA specimen is discovered among the Group II DNA types, additional tests would be necessary to confirm the identity of the specimen. The D1S80 AMP-FLP locus will be used for this purpose until such time as a decision is made on additional STR multiplex systems. To date, nearly 3000 specimens have been typed under this category.
Group III includes all other offense categories such as general property crimes and drug offenses which do not involve direct personal threat or injury to a victim. Group III offender samples are prepared onto stain cards in duplicate, sealed in plastic-coated foil envelopes with a desiccant, and placed into storage at room temperature. Duplicate blood stain cards are likewise retained for all group I and group II specimens.
No DNA identification tests are performed on group III specimens unless specifically requested by a law enforcement agency for a particular suspect. This results in an eighty-seven percent savings over the cost per specimen of Group I tests yet permits ready access to blood standards of possible suspects who are identified by investigators from among the pool of prior felons. More than 7600 specimens have been prepared for storage under Group III. Based on statistics published by the Alabama Criminal Justice Information Center and experience in collecting specimens in the first three months of operation, it is estimated that sixty percent of the total DNA blood specimens collected under the Act will be for Group III offenses.
The priority groupings defined above are justified by the following:
It is anticipated that with the availability of additional multiplex systems in the near future, Alabama will type the Group I and Group II specimens with the discrimination level necessary to bring up only one "candidate" match on the initial search. RFLP typing would continue to be performed on the Group I offenders to assure access to DNA type information on violent offenders in Alabama by other users of the CODIS system until such time as the CODIS core standards are revised to include STR data.
The decision to type some specimens using RFLP markers and all typed specimens with STR markers was made with several factors in mind. As previously stated, there is a desire to include the DNA types of Alabama's violent offenders in CODIS and, at the current time, CODIS requires three specific RFLP markers as a minimum. While the development of new DNA identification technologies continues to be dynamic, it is anticipated that CODIS will, in the near future, adjust its requirements to permit PCR-based data to be used as the core markers. This is expected because of the needs of the DNA databank states to process samples in high volume quickly and economically. Alabama anticipates the CTT STR multiplex system will be included among the core markers adopted due to its growing interest and use by forensic DNA testing laboratories. It is noted Canada and England have committed to national felon data systems using STRs.
The STR systems offer important advantages for "DNA databank" states, most notably in reduced analysis times and increased sensitivity. In addition, results of the analysis of mixed DNA specimens as are observed in casework are generally more easily interpreted in the gel format than in the "dot blot" format utilized in other PCR-based systems.
The use of PCR-based identification systems enhances the viability of utilizing buccal swabs as the primary method for the collection of felon specimens. It also makes feasible the long term storage of blood stain cards in a dry, room temperature environment. Buccal swabs are substantially cheaper in terms of the manner and cost of collection thus assuring a higher rate of compliance in securing specimens mandated under the law.
As stated earlier, Alabama's felon specimens are typed by a contract laboratory. Blood Specimens are collected at thirteen correctional institution sites and shipped on a weekly or as needed basis to the ADFS DNA Databank laboratory in Birmingham. Individual identification information for each specimen is entered into a data file and a bar code symbol is generated to correspond to the specimen donor's unique identification number. Thereafter, the blood specimen and any stain cards prepared from that specimen are identified and tracked by the bar code.
The contractor receives the bar-coded specimens, prepares blood stain cards in duplicate, performs the appropriate typing tests, and returns the DNA-type data in electronic format along with autoradiograms and stain cards to ADFS. Quality control checks are done by the ADFS CODIS coordinator at Birmingham. The DNA extracts are retained by the contractor under appropriate security although they remain the property of the State of Alabama. The tubes which contained the blood specimens are disposed of by the contractor.
At the current time, the CODIS software is not configured to readily accept "batch" data periodically as might be forwarded by a contractor. In addition, the data-search algorithms were not designed to conduct searches of discreet allele systems and are therefore limited in their current form. These issues are being addressed by the FBI and its contractor and versions of the software to accomplish these tasks are expected by November, 1995.
Alabama's DNA database system is being developed with economy and effectiveness as primary goals. It is under the philosophy that CODIS is an investigative support system designed to identify suspects and to link crime incidents. Suspects which are developed through a CODIS search will necessarily require confirmation through retesting and/or further characterization through the use of alternate loci. It is also under the assumption that STR systems will soon be embraced by CODIS which will include the THO1, TPOX and CSF1PO loci. When STR standards are defined by CODIS, newly received felon specimens will be typed with those markers determined to provide discrimination at a level to reduce the number of "candidate" matches developed through a "cold" search. It is too early to determine whether specimens will continue to be typed with the core RFLP markers although it is reasonable to assume this may be desirable at least for an interim period. Another important assumption is the desirability of discrete allele systems over the so-called continuous systems.
With the use of chemiluminescence for imaging DNA separations, speed and sensitivity issues are less well defined, especially for those databanking laboratories which have already accumulated extensive RFLP data for felon specimens. For this reason it is important that the CODIS community move with dispatch on the issue of core standards. Core standards need not necessarily be exclusive. For example, a state participating in CODIS may elect to use its system of choice for cases it considers to be "local" in nature and only use core markers to identify and upload specimens from "mystery" cases or from notorious offenders. While standards are essential to allow for data exchange, flexibility is an important consideration given the dynamic nature of DNA technology. Ultimately, the users of the CODIS system are the ones who determine its usefulness and efficacy and the system must accommodate their interests.
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