United States v. Thomas Kriesel, Jr.

720 F.3d 1137, 2013 WL 3242293, 2013 U.S. App. LEXIS 13313, 13 Cal. Daily Op. Serv. 6866
CourtCourt of Appeals for the Ninth Circuit
DecidedJune 28, 2013
Docket11-30197
StatusPublished
Cited by13 cases

This text of 720 F.3d 1137 (United States v. Thomas Kriesel, Jr.) is published on Counsel Stack Legal Research, covering Court of Appeals for the Ninth Circuit primary law. Counsel Stack provides free access to over 12 million legal documents including statutes, case law, regulations, and constitutions.

Bluebook
United States v. Thomas Kriesel, Jr., 720 F.3d 1137, 2013 WL 3242293, 2013 U.S. App. LEXIS 13313, 13 Cal. Daily Op. Serv. 6866 (9th Cir. 2013).

Opinions

Opinion by Judge Schroeder.

Dissent by Judge Reinhardt.

OPINION

SCHROEDER, Circuit Judge:

Government and commercial entities enjoy increasing capacity to obtain, store, and analyze information about people, giving rise to increasing concerns about privacy. Nowhere is that upward spiral more evident than in litigation, like this case, calling into question practices relating to identifying people through their deoxyribo-nucleic acid (DNA) sequences.

The appellant here, Thomas Kriesel, pled guilty to a drug conspiracy charge, and was sentenced to a term of imprisonment followed by a term of supervised release. One condition of his supervised release required him to provide a blood sample for analysis of his DNA, and inclusion of his DNA profile into the government’s Combined DNA Index System (CO-DIS) database. Now that Kriesel has completed his term of supervised release, he has made an unusual invocation of Federal Rule of Criminal Procedure 41(g), asking the government to return the blood sample. He has no remaining objection to the government’s retention of the information in his DNA profile, which the government analyzed from the extracted blood sample, and which it currently stores in the CODIS database.

Kriesel argued to the district court that the government had no legitimate reason for retaining the blood sample — which of course has within it not only the limited information the government has analyzed for his DNA profile, but his entire unana-lyzed genome. The district court ruled the government had a legitimate purpose in retaining the blood samples that generate the CODIS profiles in order to ensure that the matches to forensic evidence, identified through CODIS searches, are accurate. The court found no reason at this time to believe the government would use the blood for other purposes, many of [1140]*1140which are already prohibited by statute. The district court therefore granted judgment to the government, and we affirm on a similar basis.

I. THE GOVERNMENT’S DNA DATABASE

The Federal Bureau of Investigation (FBI) administers CODIS as a nationwide database of genetic identifying information.

The CODIS database stores DNA profiles of convicted federal felons on supervised release and others who have had brushes with the law. See DNA Analysis Backlog Elimination Act of 2000 (DNA Act), Pub.L. No. 106-546, § 3, 114 Stat. 2746, 2728-30; see also 28 C.F.R. § 28.2. These DNA profiles are commonly generated from blood samples.

The blood is collected from offenders and then sent to the Federal DNA Database Unit (FDDU) in Quantieo, Virginia. The FDDU extracts the DNA molecules from each blood sample, analyzes the molecules, generates a profile of identifying characteristics, and uploads the profile to CODIS. In addition to storing the profiles in CODIS, the FDDU retains offenders’ physical blood samples to help ensure accurate matches to DNA found at crime scenes.

It is important in this case to understand how the government uses both the DNA profile and the samples for identification purposes. Blood cells in the samples contain two types of DNA: the biologically important coding (or non junk) DNA, and the biologically unimportant non-coding (or junk) DNA. See United States v. Kincade, 379 F.3d 813, 818 (9th Cir.2004) (en banc) (plurality) (explaining the difference between junk and non junk DNA). We held in Kincade that the government may extract junk DNA from samples, and use it to generate profiles for inclusion in CODIS, because present scientific understanding indicates that junk DNA reveals no sensitive, private genetic or medical information. It is useful, however, for identification purposes. See id. The government uses only junk DNA to generate the CODIS profile. The record in this case reflects that the government makes no use of the non junk DNA in the blood sample.

The CODIS system searches for matches between offenders’ DNA and crime scene evidence. It is when a match is found that the actual sample is tested. The federal lab retrieves the offender’s actual blood sample, which it has retained in storage. It again extracts junk DNA from that sample, generates a new DNA profile, and compares the new profile to the CODIS profile. This verifies that the person whose profile CODIS matched to the crime scene evidence is the same person who provided the original blood sample.

The FBI created CODIS after Congress passed the Violent Crime Control and Law Enforcement Act of 1994, which authorized the agency to create a national database of DNA samples from convicted federal offenders. See Pub.L. No. 103-322, 108 Stat. 1796 (Sept. 13, 1994). Following the creation of CODIS, all fifty states passed laws requiring convicted felons to provide DNA samples for CODIS.

The legislative history reveals concerns that the database be as accurate and trustworthy as possible. Representative Henry Hyde acknowledged that while a DNA database could be valuable to law enforcement, the accuracy of the database was critical:

[Wjhen properly performed, DNA analysis has proven an extremely effective investigative tool in the criminal justice process. As DNA technology is increasingly employed in the courtroom, however, there has been growing concern over [1141]*1141issues of quality assurance and standards for conducting DNA testing. H.R. 829 [the DNA Act] will guarantee that needed quality assurance standards are developed and implemented.

139 Cong. Rec. H1650-01 (daily ed. Mar. 29,1999) (statement by Rep. Hyde).

In response to such concerns over the accuracy of CODIS, the 1994 Act requires the Director of the FBI to develop quality assurance and proficiency testing standards. 42 U.S.C. § 14131(a)(C)(2). Recommendations for these standards were to come from “an advisory board on DNA quality assurance methods from among nominations proposed by the head of the National Academy of Sciences and professional societies of crime laboratory officials.” Id. at § 14131(a)(1)(A). Responsibility for implementing the standards lies with the FBI. The statute provides that the FBI Director “after taking into consideration such recommended standards, shall issue (and revise from time to time) standards for quality assurance, including standards for testing the proficiency of forensic laboratories, and forensic analysts, in conducting analyses of DNA.” Id. at § 14131(a)(C)(2).

The procedures challenged in this case thus came from the advisory board’s recommendations. The FBI Director implemented “Quality Assurance Standards” in which he required that “where possible” the actual blood samples of offenders be retained in the CODIS database. Fed. Bureau of Investigation, Quality Assurance Standards for DNA Databasing Laboratories (revised July 1, 2009), available at http://www.fbi.gov/about-us/lab/codis/ qas_databaselabs.pdf. The FBI thus retains Kriesel’s blood sample as part of its implementation of quality and accuracy standards developed pursuant to Congressional directives.

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720 F.3d 1137, 2013 WL 3242293, 2013 U.S. App. LEXIS 13313, 13 Cal. Daily Op. Serv. 6866, Counsel Stack Legal Research, https://law.counselstack.com/opinion/united-states-v-thomas-kriesel-jr-ca9-2013.