Section 28 060 001 - DNA DATABASE UNIT OPERATING POLICY AND PROCEDURESSection I GOALS AND OBJECTIVES The purpose of the Vermont Forensic Laboratory DNA Database Unit is to:
A. provide a DNA data bank for DNA specimens from convicted criminals pursuant to Title 20 V.S.A. Chapter 113.B. Analyze samples in the data bank to develop DNA profiles for entry into the Combined DNA Identification System (CODIS) operated by the FBI. It is the goal of this DNA data bank unit to assist federal, state and local criminal justice and law enforcement agencies in the identification, detection or exclusion of individuals who are subjects of the investigation or prosecution of violent crimes. Identification, detection and exclusion may be facilitated by the DNA analysis of biological evidence left by the perpetrator of a violent crime and recovered from the crime scene. The DNA analysis of biological evidence can also be used to identify missing persons.
Section II DEFINITIONSA. "CODIS" means the FBI's national DNA identification index system that allows storage and exchange of DNA records submitted by state and local forensic DNA laboratories. The term "CODIS" is derived from Combined DNA Index System.B. "DNA database collection card," known as a DCC, serves as the chain of custody form and informational sheet for the DNA sample collection. Portions of this card are completed when the DNA sample is collected.C. "DNA" means deoxyribonucleic acid. DNA encodes genetic information that is the basis of human heredity and forensic identification.D. "DNA record" means DNA sample identification information stored in the state DNA database or CODIS. A DNA record is the result obtained from the DNA sample typing tests and is referred to as the DNA profile of an individual.E. "DNA sample" means a tissue sample provided by any person convicted of violent crime or a forensic unknown sample. The DNA sample may be blood or other tissue type specified by the department.F. "DNA sample blood card" is a paper-like material onto which a blood sample is placed to preserve the DNA from a convicted offender. It is this card that is stored and used to obtain the DNA for profiling.G. "DOC" means Department of Corrections.H. "DPS" means the Department of Public Safety.I. "FBI" means the Federal Bureau of Investigation.J. "Forensic unknown sample" means an unidentified tissue sample gathered in connection with a criminal investigation.K. "Laboratory" means the Vermont Forensic Laboratory (VFL).L. "Population database" means anonymous DNA records used to assist statistical evaluation.M. "SID" means State Identification Number. This is a separate and unique number sequentially assigned to each individual whose fingerprints are placed into the Vermont Criminal Information Center (VCIC) repository.N. "State DNA database" means the laboratory DNA identification record system. The state DNA database is a collection of the DNA records related to forensic casework, convicted offenders required to provide a DNA sample, and anonymous DNA records used for protocol development or quality control.O. "State DNA data bank" means the repository of DNA samples collected and maintained by the department.P. "VFL" means Vermont Forensic Laboratory. R. "VFL database sample number" is the unique number used for tracking DNA samples and profiles from convicted violent offenders.Section III PROCEDURES FOR THE RECEIPT AND PROCESSING OF DNA SAMPLES IN THE DATABASE UNIT A. SAMPLE ORIGIN 1. Samples for entry into the DNA data bank will originate from individuals who are or were in the custody of the Department of Corrections on or after 4/29/98, and who are required to submit a sample pursuant to 20 V.S.A. § 1933. Except for forensic unknown samples, no samples of tissue, fluid or other biological substance voluntarily submitted or obtained by the execution of a non-testimonial identification order, shall be entered into the state DNA data bank. All DNA samples will consist of a tube of blood unless the DPS develops a less invasive method. That method would then become the method to collect DNA samples. The DOC will determine who is required to submit a DNA sample. The DOC will collect and submit DNA samples to the Laboratory.2. Only those individuals qualified to draw blood samples in a medically approved manner shall draw a blood sample to be submitted for DNA analysis.B. RECEIPT OF DNA SAMPLES IN THE DNA DATABANK 1. DNA samples will be received in the Vermont Forensic Laboratory.2. Appropriate chain of custody will be maintained on all samples.3. The sample is then either placed into short term storage for future processing or is processed immediately.4. If a problem is noted with the DNA sample or the DNA Database Collection Card, this problem is referred to the senior forensic chemist or the laboratory director for actionC. PREPARATION OF BLOODSTAINS 1. Liquid blood samples will be converted to bloodstains for inclusion in the DNA data bank.2. DNA samples will be maintained as dried stains on DNA sample blood cards. a. The DNA sample blood card is labeled with the unique VFL database sample number. No other identifying information is placed on the blood card.b. The analyst will check the identifying information on the DNA Database Collection Card with the identifying information on the blood tube. If they are in agreement, the blood will be placed on the DNA sample blood card.c. The blood tube, any remaining blood, and any shipping or packaging materials will be destroyed.d. The DNA sample blood card will be dried and stored in the DNA data bank. Only DNA samples shall be stored in the DNA data bank.D. DATABASE COLLECTION CARD (DCC) PROCESSING 1. The DCC will be given to a latent fingerprint examiner to determine if the fingerprints on the DCC match the subject listed on the form if a 10 print fingerprint card is on file. The fingerprint examiner will document the findings.2. If the fingerprints on file do not match the subject, the latent fingerprint examiner will notify the senior forensic chemist or the laboratory director who will take appropriate action. Corrections officials will be notified of the situation.Section IV DNA ANALYSIS AND INCLUSION IN THE DNA DATABASEA. Database analysts will remove samples to be analyzed. Only one DNA sample card will be open at any one time.B. Database analysts will be authorized to remove samples from the data bank for analysis of samples for inclusion in the database as authorized in section 20 V.S.A. 1937.C. After sampling, DNA sample cards will be returned to the DNA data bank.D. Samples will be processed using only approved DNA analysis procedures and must be compatible with the F.B.I. requirements for entry into CODIS. DNA analysis will be conducted using a system compatible with CODIS and in accordance with CODIS operating procedures. DNA identification records and laboratory procedures will meet relevant audit standards for forensic DNA laboratories.E. All lab notes and files will be kept in the DNA database unit. Lab notes will not contain offender names. The only identifier will be the unique VFL database number.F. The laboratory may contract with a commercial laboratory for DNA analysis. This commercial laboratory must meet relevant audit standards for forensic DNA laboratories, and provide DNA data in a CODIS compatible format.G. Only DNA records derived from DNA samples shall be stored in CODIS and the state database. [ sic] G. Unlawful Tampering with DNA Samples
1. A person who knowingly or intentionally tampers or attempts to tamper with a DNA sample shall be imprisoned not more than three years or fined not more than $ 10,000.00, or both, pursuant to 20 V.S.A. § 1945. [ sic] G. Unlawful Tampering with DNA Samples
1. Only unidentified tissue samples gathered in connection with a criminal investigation will be considered forensic unknown samples.2. Forensic unknown samples will be processed using only approved DNA analysis procedures and must be compatible with the F.B.I. requirements for entry into CODIS. DNA analysis will be conducted using a system compatible with CODIS and in accordance with CODIS operating procedures. DNA identification records and laboratory procedures will meet relevant audit standards for forensic DNA laboratories.3. All lab notes and files of the DNA analysis of forensic unknown samples will be maintained with the case notes.4. The DNA record derived from an unknown forensic sample will be identified by a unique VFL number for entry into CODIS and the State database.5. If the identity of the forensic unknown becomes known and the subject excluded as a suspect in the case, the record will be expunged from the database (see section VII).Section V LINES OF AUTHORITY AND RESPONSIBILITIES FOR INFORMATION AND SAMPLES IN THE DNA DATA BANK AND DATABASE A. The DNA database unit is one of the functional units in the forensic chemistry section, Criminal Justice Services, Department of Public Safety. The forensic chemistry section is headed by the senior forensic chemist.B. The DNA database unit is composed of a unit manager who is the senior forensic chemist or his/her designate and a number of analysts.C. The Forensic chemistry section has a designated CODIS Manager who is the senior forensic chemist or his/her designate.D. DNA database analysts have full authority to receive, run, and analyze the samples from convicted offenders received in the database unit.E. The DNA database unit manager is responsible for the day to day operation of the unit. The database unit manager is responsible for supervising the quality of the work entered into the local database, and for seeing that the database unit follows all quality assurance procedures found in the DNA quality assurance manual.F. The CODIS Manager is responsible for the uploading of data from the state (State DNA Index System-SDIS) to the national (National DNA Index System-NDIS) database. Only DNA records as specified by Section 1938, Sec. 20 V.S.A. Chapter 113 will be placed in the database.G. The only function not delegated to the CODIS Manager is the power to expunge a DNA profile. 20 V.S.A. § 1940 allows for expungement of a DNA profile from the database. It will be the responsibility of the senior forensic chemist and the laboratory director to expunge the records and sample(s). See the section below on "Expungement" for details.Section VI ACCESS TO DATA AND INFORMATIONA. GENERAL OPERATING PROCEDURES 1. Access to information in the database and data bank (including personal identifying information) is permitted only as specified in 20 V.S.A. §§ 1936 - 1942. All other requests for information will be denied. If there is any question as to whether the request is valid or should be denied, the senior forensic chemist or laboratory director will be consulted. a. The only persons permitted to provide databank and database information to requesting agencies are the CODIS manager, senior forensic chemist or laboratory director.b. The identity of any person/agency making a request for information must be verified prior to the release of any information. Requests made through CODIS will meet this requirement.c. Requests for information will only be accepted from law enforcement or criminal justice agencies, or governmental forensic science laboratories. Requests from private forensic laboratories will not be honored.d. Only when a sample or DNA profile supplied by the requesting party satisfactorily matches a profile in the Convicted Offender DNA Database shall the existence of data in the Convicted Offender DNA Database be confirmed and/or identifying information from the Database be disseminated.e. If a match is made between an offender profile and a forensic unknown, this information is to be used only as investigative information and as probable cause to obtain a new blood sample from the offender, which must be reanalyzed.f. All violations or suspected violations of disclosure of database information must be reported to the laboratory director. Penalties for violations of disclosure of information are described in 20 V.S.A. § 1941.g. Searching the database: Searches of the database will be conducted only by the CODIS Manager.
Section VII EXPUNGEMENT A. The senior forensic chemist and/or the laboratory director will consult with DPS legal counsel and/or appropriate prosecutorial and judicial agencies when notification has been received to expunge the records and to destroy the sample from an individual contained in the databank and database. Upon review and verification of the court order directing expungement, it will be the responsibility of the senior forensic chemist and the laboratory director to expunge the records and sample. When it is determined that a person's records should be expunged and the sample destroyed, the person's DNA record in the state DNA database and CODIS and the person's DNA sample in the state DNA data bank shall be removed and destroyed. The laboratory shall purge the DNA record and all other identifiable information from the state DNA database and CODIS and destroy the DNA sample stored in the state DNA data bank. If the person has more than one entry in the state DNA database, CODIS, or the state DNA data bank, only the entry related to the dismissed case shall be deleted. The senior forensic chemist shall notify the DPS legal counsel upon completing its responsibilities under this subsection so that they may notify the person concerning the expungement by certified mail addressed to the person's last known address. A copy of the expungement order will be placed in the DNA file.B. If the identity of the subject of a forensic unknown sample becomes known and that subject is excluded as a suspect in the case, the CODIS manager will remove the sample record from the state DNA database upon the conclusion of the criminal investigation and finalization of any criminal prosecution.Statutory Authority: 20 V.S.A. § 194228-001 Code Vt. R. 28-060-001-X
Effective Date: November 16, 1998 (Secretary of State Rule Log #98-68)