Forensic DNA Analysis For The Trial Attorney

1. Forensic DNA AnalysisFor The Trial Attorney Kara Stefanson DNA Resource Specialist Cook County State’s Attorney’s Office

2. Topic List • DNA Sources and Analysis Methods • CODIS – the DNA profile database • Non-routine DNA Analysis • Sample Consumption • Defense Experts • Trial Preparation • Discovery • Biosafety

3. DNA = deoxyribonucleic acidWhy is DNA useful in Forensic Science? • Genetic blueprint • Consistent throughout the body • Consistent from birth to death • 50% from mother; 50% from father • Stable if not exposed to heat or moisture • Unique to each individual except identical siblings

6. Blood Semen Saliva Vaginal secretions Urine Scene, weapons, clothing, misc. items Rape kits, clothing, bedding(nonsperm samples ok) Bitemarks, envelopes, cigarette butts, ski masks, rape kits, cans/bottles, straws Objects, clothing Clothing, scene Sources of DNA

7. Vomit Feces Perspiration Tissue Bone Muscle Tooth pulp Hair Fingernail samples Clothing, scene Clothing, scene Clothing, hats, gloves misc. Decomposed bodies Forcibly removed Cellular material or fluids Sources of DNA (cont.)

8. Forensic DNA Analysis Methods • RFLP; Restriction Fragment Length Polymorphism • Appear as bands on a blue film • 4-6 areas of the DNA examined and compared • No longer used in government crime labs • PCR; Polymerase Chain Reaction • Chemical chain reaction copies starter DNA for analysis • DQA1 - dots • Polymarker (PM) - dots • D1S80 - bands • STRs - Short Tandem Repeats (amelogenin gender marker) – appear as peaks • STRs are what most crime labs are currently using on criminal casework • 13-16 STR areas along the DNA strand are examined and compared

9. PCR of the STR • PCR is the chemistry • STRs are the locations examined on the DNA strand

11. ABI Prism 310 Genetic Analyzer

19. Private Laboratories • Many government crime labs are using private labs to assist with both biology and DNA backlogs • Know the lab being used (Cellmark/Bode) • Know the analysis timeline • Know how the cases are processed • Biology, DNA or both? • Most private labs use a team approach • Communicate with your lab for assistance • Know who is paying for testimony and travel

20. Private Labs Picked By Attorneys • Carefully select private labs for analysis you or the defense will be sending out and paying for • Labs MUST be accredited in order for their profiles to be entered in to the national level of the database • ASCLD/LAB (American Society of Crime Laboratory Directors Laboratory Accreditation Board) • FQS (Forensic Quality Services out of Largo, Florida) • Audits must be done onsite using the FBI’s Quality Assurance Standards for Forensic DNA Testing Laboratories • ISO 17025 is sometimes included which is a general laboratory inspection, not specific to forensic science • ISP may need to do a site visit to a private lab prior to testing in order for profiles to be searched in the CODIS databases

22. Combined DNA Index System (CODIS) • FBI’s National DNA Computer System • Stores and searches DNA profiles • Automatically • Continuously • Operational in all 50 states • Operational in District of Columbia • Operational in many international laboratories

23. CODIS Databases • Casework Database • DNA profiles from evidence samples • DNA profile from suspect standards submitted by law enforcement as evidence • Probative Perpetrator Profiles Only • Convicted Offender Database • DNA profiles from individuals convicted or arrested of qualifying offenses determined by each state’s legislation • >340,000 convicted offender profiles in Illinois (August 2009)

24. Missing Persons Database • Uses search criteria to link relatives with unidentified remains • mtDNA and STR profiles used • 664 profiles from missing persons • Toothbrush, hairbrush, etc. • 5,678 profiles from relatives of missing persons • 3,143 profiles from unidentified remains • Data as of August 2009

25. Levels of CODIS • Local (LDIS/GDIS) • Each CODIS lab in each state • Enters profiles from evidence • Check with your lab for profile requirements to search • State (SDIS) • Most likely one lab in each state (Springfield) • Most likely houses offender samples • Completes the state search of evidence samples • Illinois cases must have success at 6 or more loci • National (NDIS) • FBI housed in Virginia • Success at 10 of the 13 STR loci for forensic samples (exceptions made; case by case basis)

26. National DNA Index System (NDIS) • Operational in December of 1998 • Operational in all 50 states + FBI, Army Lab and Puerto Rico • 289,832 evidence profiles (August 2009) • 3,500 in 1998 • 7,186,518 offender profiles (August 2009) • 75,000 in 1998 • 287,365 arrestee profiles (August 2009) • 7,763,715 total profiles (August 2009) • 78,500 in 1998 • Weekly searches • Updated statistics on the FBI’s website • fbi.gov (then search CODIS)

27. CODIS Legislation in Illinois • 730 ILCS 5/5-4-3 • Signed September 1989 • Effective July 1, 1990 • Retroactive • Sample collection started September 1990 • ISP supplies collection kit • Analysis began August 1992 • Includes juvenile offenders

28. Covered Offenses July 1990 • Criminal Sexual Assault • Aggravated Criminal Sexual Assault • Criminal Sexual Abuse • Aggravated Criminal Sexual Abuse • Predatory Criminal Sexual Assault of a Child • Incest • An attempt to commit any of these offenses

29. Covered Offenses January 1998(not retroactive) • Selected to bridge gap between registered and convicted sexual offender tracking • Indecent solicitation of a child • Sexual exploitation of a child • Soliciting for a juvenile prostitute • Keeping a place of juvenile prostitution • Patronizing a juvenile prostitute • Juvenile pimping • Exploitation of a child • Child pornography • Ritualized abuse of a child • Certain limited examples of child abduction

30. First Degree Murder Second Degree Murder Kidnapping Aggravated Kidnapping Home Invasion Vehicular Invasion Vehicular Hijacking Aggravated Vehicular Hijacking Burglary Possession of Burglary Tools Robbery Armed Robbery Any other offense by court order Covered OffensesRetroactive to January 2000Sample collection to begin July 2003

31. August 2002 • Biological samples will be collected from all convicted felons • Retroactive for those still in custody or under IDOC supervision • Do not assume convicted persons are being searched • Contact your lab to verify a convicted offender is in the database • Provide name, DOB, SID or DOC numbers

32. CODIS Goals • Compare all DNA profiles from evidence to each other • Case to case hit (forensic hit) • Law enforcement agencies will be notified via fax followed by a lab report

33. CODIS Goals (cont.) • Compare all DNA profiles from evidence to DNA profiles from convicted offenders • Case to offender hit • Law enforcement agency will be notified via fax followed by a lab report • Confirmatory buccal swab standard from offender will be requested • Links using CODIS are with samples collected by IDOC which are not tracked like evidence • Samples are collected based on past convictions so may not be admissible in court • No match, no stats without confirmatory standard • Confirmatory standards should be collected as supplemental evidence through law enforcement

34. CODIS Success • 93,002 investigations aided nationwide • 16,232 case to case hits nationwide • 10,024 offender hits between states • 68,204 offender hits within single state

35. CODIS in Court (cont.) • Recent ruling in Illinois murder case • Lab witness explained DNA link between scene and defendant was made by a database search • Appellate court said defendant was deprived of a fair trial due to lab comments • Supreme court disagreed and said it was proper to refer to the DNA database in this manner • People of the State of Illinois v. Lewis Jackson • 2007 Ill. App. LEXIS 233 (March 14, 2007) • 232 Ill. 2d 246 (2009) (January 23, 2009)

36. CODIS Autosearch • Illinois was court ordered to conduct an autosearch of the Illinois Offender Database • Contained over 200,000 offender samples • People v. Juan LUNA (Brown’s Chicken Murders) • Search identified how many profiles within this database matched one other profile at 9 or more locations tested • Used by defense to attempt to limit the power of the statistics (rarity) applied to profiles in casework • Publication by FBI and forensic statistician in final stages to refute defense claim • Contact DNA Review Unit for transcripts and assistance

37. Y Chromosome Testing (YSTRs) • Used when analysis with conventional DNA markers is not helpful • CODIS STRs; many chromosomes • Regions on the Y chromosome can be tested • Inheritance is from father only • Profiles are not unique – NO CODIS UPLOAD • Statistics will not indicate identity • Illinois State Police Laboratory System Online • Call for timeline and case acceptance policy • Check with labs other than ISP for status of testing

38. Y Chromosome Testing • Admissibility • Analysis methods are identical to CODIS STR methods and are not new or novel • Frequency estimates are “different” and some judges will grant an admissibility hearing • Frequency estimates are similar to mtDNA • Successful Frye Hearing – Cook County • Frequency estimate issue only • People v. Dennys RIVERA • Frye Ruling Feb. 2007; Trial in July 2007 • Contact DNA Review Unit for transcripts

39. Mitochondrial DNA Analysis • Used when analysis with conventional DNA markers is not helpful • CODIS STRs; many chromosomes • Mitochondria is a different kind of DNA • Inheritance is from mother only • Profiles are not unique - NO CODIS UPLOAD • Statistics will not indicate identity; best case: • 6 in 10,000 • 1 in 1600 • 99.94% will be excluded

40. Mitochondrial DNA Analysis (cont.) • Most common types of evidence for mtDNA analysis are hair and bone samples • FBI will conduct mtDNA analysis free of charge via four regional government labs • MN, CT, AZ, NJ • See DNA Review Unit for submission information • Hair samples will require the collection of hair standards from appropriate players in case • Private labs will be expensive for analysis and testimony

41. Mitochondrial DNA Analysis (cont.) • Admissibility • Analysis methods are similar to CODIS STR methods and are not new or novel • Frequency estimates are “different” and some judges will grant an admissibility hearing • Successful Frye Hearing – Jefferson County • ASA Gary Duncan • Frye in 2001 • Conviction in 2004 • Successful testimony – DuPage County • People v. WARREN • Contact DNA Review Unit for Illinois case list

42. Mini-STR DNA Analysis • Targets some of the same CODIS loci • Works well with degraded or limited DNA samples • May provide improved CODIS profile • FBI approval in progress • May provide improved statistics • Check with your lab for status • ISP not online • Verify validations with a private lab

43. DNA from Limited Samples • “Touch” DNA • LCN or Low Copy Number DNA • Low Template DNA (LT DNA) • Be sure to define the terms so everyone is on the same page • Samples with “handler” DNA may not be limited in amount • Labs will not use procedures that have not been properly validated • Check with your lab if: • You think have a case that would benefit • Defense requests this testing at a private lab

44. Fabricating DNA • Company out of Israel (Nucleix) selling test to distinguish real DNA from fabricated DNA • Claimed that DNA can be fabricated and purchased on the internet • DNA profile must be known • Laboratory personnel not trained in this method nor are the chemicals available • Pre-planted at crime scene? • Talk to your lab personnel about this concern prior to trial; verify response if state witness is asked about issue

45. Additional Topics (cont.) • Learn the advancements and limitations of these methods and any new methods • Know the case acceptance policy at your laboratory • Select an accredited private laboratory when necessary (remember a site visit by ISP may be required prior to testing in order to use CODIS!) • Know who will cover the cost of the private testing and testimony • Per sample cost plus reference standards • Per day cost for testimony plus travel • Do not agree to testing that is not generally accepted in the forensic community

46. Statistics • Know what the numbers mean • The chances of randomly selecting a person from the general population who would be included is approximately 1 in XX • The chances of finding the profile ONCE • Frequencies can vary slightly between labs • Math using frequencies will not vary • Specific math equations are required to be accredited • Know how the witness will testify • Consider planet comparison • 1 in 1 quadrillion: you would need a group of people over 150,000 times the population of the earth, and in that large group your chances of randomly selecting a person with that profile is one. • Know where the data was generated • FBI has published some of their data • JFS Vol. 44, No. 6, Nov. 1999, pp. 1277-1286

47. Sample Consumption • For certain types of samples, there is no accurate way to determine how much DNA is present until after chemicals are added • Fingernails • Handler’s or wearer’s DNA • Saliva samples • Some samples will need to be consumed in the DNA extraction process • Starting stain cannot be retested • DNA may remain in solution after testing • Laboratory personnel may notify you that consumption is necessary for optimal DNA results

48. Sample Consumption (cont.) • Illinois State Police Laboratory System will require approval to consume from ASAs involved in a case (even prior to charging) • Form letter to ASA from lab analyst to be signed by ASA and returned to lab • Court order faxed to lab • Verbal approval from ASA to lab • Check with your lab for additional requirements (DuPage or NIRCL) • Record all discussions with defense, court and lab regarding agreements and requirements

49. Defense Request to View DNA Analysis • Defense Attorney or Expert may request to view all or part of the DNA analysis process • Process has multiple steps • Process is time consuming • Illinois State Police Laboratory System allows for defense experts to view DNA analysis • Only when stains to be tested require consumption • Qualifications of expert must be approved by ISP • Court order required for lab access • Work will occur after hours and on weekends depending on the lab

50. Defense Experts • Research the expert • APRI, NDAA, NCDA, denverda.org, google • Review expert’s CV • Call every employer • Check out every association • Subpoena job applications and performance evaluations • Check with state boards and licensing agencies • Read the publications listed • Check for criminal background • Consult with other prosecutors • In your state • In other states • Consult with your local government lab personnel