Lead Opinion
Opinion by Judge FLETCHER; Dissent by Judge D.W. NELSON.
The plaintiffs in this 42 U.S.C. § 1983 suit appeal the district court’s summary judgment dismissing their claims. We have jurisdiction and affirm.
I
Chapter 669, Oregon Laws 1991, O.R.S. §§ 137.076, 161.325(4), 181.085, 419.507(11), and 419.800(4)(k), requires persons convicted of murder, a sexual offense,
The plaintiffs allege that Chapter 669 violates the Fourth Amendment’s prohibition against unreasonable searches and seizures and constitutes an ex post facto punishment as applied to them because they were convicted prior to the law’s enactment. They also maintain that the Due Process Clause requires the defendants to provide a hearing before drawing blood pursuant to Chapter 669. Finally, 'plaintiff Milligan alleges that the defendants violated his right to due process by ordering him to submit a blood sample even though he had not been convicted of a predicate offense and by placing him in administrative segregation when he refused to comply.
We review de novo the district court’s grant of summary judgment. Jones v. Union Pacific R.R.,
II
Non-consensual extraction of blood implicates Fourth Amendment privacy
A
The district court held that Chapter 669 was constitutional because it served a “special need” other than normal law enforcement, see, e.g., New Jersey v. T.L.O.,
Even in the law enforcement context, the State may interfere with an individual’s Fourth Amendment interests with less than probable cause and without a warrant if the intrusion is only minimal and is justified by law enforcement purposes. E.g., Michigan State Police Department v. Sitz,
The gathering of genetic information for identification purposes from a convicted murderer’s or sexual offender’s blood once the blood has been drawn does not constitute more than a minimal intrusion upon the plaintiffs’ Fourth Amendment interests. The information derived from the blood sample is substantially the same as that derived from fingerprinting — an identifying marker unique to the individual from whom the information is derived. The gathering of fingerprint evidence from “free persons” constitutes a sufficiently significant interference with individual expectations of privacy that law enforcement officials are required to demonstrate that they have probable cause, or at least an articulable suspicion, to believe that the person committed a criminal offеnse and that the fingerprinting will establish or negate the person’s connection to the offense. See Hayes v. Florida,
A similar, but even more compelling, distinction is applicable here. Although the drawing of blood from free persons generally requires a warrant supported by probable cause to believe that a person has committed a criminal offense and that his blood will reveal evidence relevant to that offense, see Schmerber,
That the gathering of DNA information requires the drawing of blood rather than inking and rolling a person’s fingertips does not elevate the intrusion upon the plaintiffs’ Fourth Amendment interests to a level beyond minimal.
B
Because Chapter 669 authorizes only a minimal intrusion into the plaintiffs’ Fourth Amendment interests, determining its constitutionality requires us to balance the gravity of the public interest served by the creation of a DNA data bank, the degree to which the data bank would advance the public interest, and the severity of the resulting interference with individual liberty. Brown v. Texas,
Chapter 669 applies only to persons actually convicted of murder or a sexual offense and requires no more than one blood extraction from an individual in -his lifetime. O.R.S. § 137.076(4)(a) (exempting convicted person from blood draw if DOC already has an adequate sample). Blood samples can be taken only in a medically acceptable manner by appropriately trained medical persohnel, and a convicted person is not required to submit a blood sample if doing so would present a substantial and unreasonable risk to his health. O.R.S. § 137.076(3), (4)(b).
Chapter 669 also limits the State’s use of blood samples taken pursuant to the Chapter. Only district attorneys, courts, grand juries, certain law enforcement officers, and parties to a criminal prosecution may be privy to the information derived from the blood sample, O.R.S. § 181.085(2), and the State may not analyze'the samples to discover genetic predispositions to physical or mental conditions.
The absence of any individualized suspicion that persons subject to blood sampling have committed criminal offenses other than their original offenses of conviction does not render Chapter 669 unconstitutional. Rather, the evenhandedness of Oregon’s statute contributes to its reasonableness. “An essential purpose of a warrant requirement is to protect privacy interests by assuring citizens subject to a search or seizure that such intrusions are not the random or arbitrary acts of government agents.” Skinner,
The Supreme Court recently reaffirmed and expanded the principle first enunciated in Skinner, stating that, in some contexts, “testing based оn ‘suspicion’ of [wrongful activity] would not be better, but worse” than suspicionless testing. Acton, — U.S. at —,
Like the testing programs at issue in Skinner and Acton, Chapter 669 is evenhanded. Every person convicted of one of the predicate offenses listed in O.R.S. § 137.076(1) is required to submit a blood sample for analysis unless a court determines that drawing a sample would create a substantial and unreasonable risk to the person’s health. Prison officials retain no discretion to choose which persons must Submit blood samples. By ensuring that blood extractions will not be ordered randomly or for illegitimate purposes, Chapter 669 fulfills a principal purpose of the warrant requirement.
Taking into account all of the factors discussed above — the reduced expectations of privacy held by persons convicted of one of the felonies to which Chapter 669 applies, the blood extractions’ relatively minimal intrusion into these persons’ privacy interests, the public’s incontestable interest in preventing recidivism and identifying and prosecuting murderers and sexual offenders, and the likelihood that a DNA data bank will advance this interest — we conclude that Chapter 669 is reasonable and therefore constitutional under the Fourth Amendment.
III
The plaintiffs maintain that, even if Chapter 669 is constitutional as applied to persons convicted after its enactment, it violates the prohibition against ex post facto laws as applied to them because they were convicted prior to its enactment. The district court held that Chapter 669 does not subject the plaintiffs to increased punishment and therefore does not implicate ex post facto concerns. We agree.
Not every change in a convicted person’s situation violates the Ex Post Facto Clause. A law implicates the Ex Post Facto Clause only if it criminalizes conduct that was not a crime when it was committed, increases the punishment for a crime beyond what it was at the time the act was committed, or deprives a person of a defense available at the time the act was committed. Collins v. Youngblood,
We have held that legislation may lawfully impose new requirements on convicted persons if the statute’s “overall design and effect” indicates a “non-punitive intent.” United States v. Huss,
IV
The plaintiffs argue that the Due Process Clause requires prison officials to provide a hearing before requiring a person to submit a blood sample pursuant to Chapter 669. We do not agree. The extraction of blood from an individual in a simple, medically acceptable manner, despite the individual’s
V
Milligan presents a separate due process claim from that of his co-plaintiffs. He alleges that prison officials violated his due process rights by ordering him to submit a blood sample pursuant to Chapter 669 even though he did not commit an offense listed in O.R.S. § 137.076(1). It is undisputed that Milligan w7as convicted of attempted murder and unlawful use of a weapon, which are not predicate offenses under § 137.076(1). Nevertheless, prison officials ordered him at least three times to submit a blood sample. Milligan refused to submit a sample, and two hearings were held to determine whether Milligan should be disciplined. At neither hearing did Milligan claim that Chapter 669 did not apply to him. As a result of his refusal to provide a blood sample, Milligan was sanctioned, fined, and placed in disciplinary segregation.
Crittenden Tuttle, the DOC employee who recommended that a blood sample be drawn from Milligan,
“(d) Conspiracy or attempt to commit any felony listed in paragraphs (a) to (c) of this subsection; or
“(e) Murder or aggravated murder.”
(emphasis added). Apparently, the “attempt to commit” language was interpreted as applying not only to the offenses incorporated in subsection (d) but also to murder and aggravated murder, listed in subsection (e).
The district court granted the defendants’ motion for summary judgment on Milligan’s due process claim on several grounds. Milligan does not appeal the bases on which the district court entered summary judgment in favor of DOC, the Department of State Police, Reginald Madsen, and the John Doe defendants_.._ Therefore, Milligan’s appeal challenges only the district court’s decision to enter summary judgment in favor of defendants Catherine Knox, Administrator of the DOC Health Service Department, and Fred Pearce, Director of DOC. The district court granted summary judgment in favor of these defendants because the misreading of O.R.S. § 137.076(1) was at most negligent and, therefore, was not actionable under 42 U.S.C. § 1983. See Daniels v. Williams,
It is well established that section 1983 does not impose liability upon state officials for the acts of their subordinates under a respondeat superior theory of liability. Monell v. Department of Social Services of New York,
VI
We hold that a state does not violate the Fourth Amendment by requiring convicted murderers and sexual offenders to submit a blood sample for DNA analysis to create an identification data bank. We further hold that applying this requirement to persons convicted prior to Chapter 669’s enactment does not violate the prohibition against ex post facto punishment. The defendants’ procedural due process claims also fail. The state need not conduct a hearing prior to drawing a blood sample pursuant to Chapter 669. As to Milligan’s separate claim, he failed to show that either Pearce or Knox was involved personally in the demand that Milligan submit a blood sample. The district court’s grant of the defendants’ motion for summary judgment, is affirmed.
AFFIRMED.
Notes
. Chapter 669 includes as predicate offenses the following sex-related crimes: rape, sodomy, unlawful sexual penetration, sexual abuse, public indecency, incest, using a child in a display of sexually explicit conduct, and promoting or compelling prostitution. O.R.S. § 137.076(1). We refer to them collectively as “sexual offenses."
. The dissent suggests that our comparison to traditional fingerprinting is inapt because fingerprints "are personal attributes that are routinely exposed to the public at large in daily life” and, accordingly, the gathering of fingerprints, unlike the drawing of blood, implicates “a categorically different and lesser expectation of privacy.” Dissenting Op. at 1569. However, the fingerprints gathered by law enforcement officials and included in fingerprint identification data banks are not ones that have been left behind voluntarily on doorknobs and water glasses. They are the ones gathered by holding the person’s hand firmly and taking the prints. Much like the process of providing a blood sample, providing one’s fingerprints can be quick and simple if one submits voluntarily, but has the potential for the use óf force if resisted. It is for this reason that, outside the “booking" process to which we analogize, courts do generally require some level of individualized suspicion to support the seizure necessary to gather a person’s fingerprints. See Hayes,
. Several state and federal district courts also have upheld state statutes authorizing prison officials to obtain blood samples from convicted persons for purposes of creating DNA data banks. See Vanderlinden v. Kansas,
. Additionally, the defendants maintain that Chapter 669 may reduce recidivism because released murderers and sexual offenders will be reluctant to commit other offenses out of fear that they will leave behind incriminating evidence that could be linked back to them through the state’s DNA data bank. If so, the creation of a DNA data bank certainly is less drastic than other methods currently being used in the growing war to reduce recidivism, particularly among sexual offenders. See generally Barry Meier, "Sexual Predators” Finding Sentence May Last Past Jail, New York Times, Feb. 27, 1995, at A1 (reporting an increase in state legislation aimed at reducing recidivism by sexual offenders, including statutes requiring sexual offenders to register with local authorities upon relocation to a new community and legislation providing for involuntary civil commitment upon a sexual offender's release from prison).
.State officials may use the blood samples for only one purpose other than a DNA identification bank. Under O.R.S. § 181.085(l)(d), the blood samples may be used to create a statistical population frequency data bank on the condition that the information be stored on an anonymous basis.
. Neither Tuttle nor the employees who disciplined Milligan were named as defendants in this suit.
Dissenting Opinion
dissenting:
The majority fails to find a Fourth Amendment violation arising from the nonconsensual DNA genetiс pattern analysis of persons convicted for murder or various sexual offenses (including such non-violent crimes as public indecency or pimping, or attempts at any of the included sexual offenses). Ostensibly applying a traditional balancing test that weighs the severity of the intrusion on personal privacy interests against the importance of the public interest served, the majority upholds extraction and analysis of blood samples, without any showing of probable cause or even individualized suspicion, solely for the ordinary law enforcement purpose of facilitating investigation of crimes that may be committed in the future. In reaching this conclusion, the majority brushes aside Supreme Court and Ninth Circuit precedent that recognizes invasion of the body as an intrusion of a scope fundamentally different from the capture of visual images or fingerprints, in which there is a minimal expectation of privacy because that information ordinarily is held out to the public. Because there is no justification for this unprecedented departure from settled Fourth Amendment jurisprudence, I respectfully dissent.
I. FORCED EXTRACTION OF BLOOD IS AN INVASION OF BODILY INTEGRITY THAT CANNOT BE CONSIDERED A DE MINIMIS SEIZURE IN THE LAW ENFORCEMENT CONTEXT
Focusing on the Supreme Court’s discussion of the routine and commonplace manner of the blood extraction process, the majority minimizes the import of Schmerber v. California,
Only when law enforcement faces an exigent circumstance, such as a need to preserve evanescent blood alcohol evidence, and has probable cause to link the sought-after information to a crime under investigation is it constitutional to conduct non-consensual blood testing without a warrant. Id. at 770-771,
To buttress its claim that a blood test raises de minimis Fourth Amendment concerns, the majority cites to selective descriptive phrases in various Supreme Court opinions in which the Court has analyzed some facet of blood testing. For example, Breithaupt v. Abram,
Likewise, the majоrity overlooks the significant constitutional line drawn by Schmerber itself for “searches involving intrusions beyond the body’s surface.” Schmerber v. California,
Similarly, the Supreme Court in Winston v. Lee,
Finally, the majority’s reliance on Skinner v. Railway Labor Executives’Ass’n,
Thus, although the majority asserts that Supreme Coxxrt precedent treats blood testing as meriting little judicial attention, the appropriate reading of Schmerber demonstrates that blood testing is “minimally” intrusive only in the sense that it is a less egregious example of an extremely invasive type of search — -those that involve intrusions into bodily integrity. Consequently, the Supreme Court relied on the Schmerber analysis when it invalidated a surgical incision to remove a bullet to provide evidence, stating that intrusions into the human body require a “discerning inquiry” beyond the “threshold” probable cause requirement. Winston v. Lee,
The majority also fails to consider our own precedent, which consistently treats intrusion into bodily integrity as a determinative factor requiring traditional Fourth Amendment protections. In invalidating routine body cavity inspection of arrestees, we stated unequivocally that “Schmerber governs all searches that invade the interior of the body — whether by a needle that punctures the skin or a visual intrusion into a body cavity.” Fuller v. M.G. Jewelry,
II. THE MAJORITY’S JUSTIFICATION FOR VALIDATION OF THE SEIZURE RESTS ON A SHAKY FOUNDATION COBBLED FROM DISPARATE STRANDS OF FOURTH AMENDMENT JURISPRUDENCE AND FAILS TO DISTINGUISH DIS-POSITIVE SUPREME COURT AND NINTH CIRCUIT PRECEDENT
The inescapable conclusion is that Schmerber and our precedent have conducted the reasonableness balancing and found that extraction of blood, weighed against the traditional law enforcement goal of identifying perpetrators of crimes, requires probable cause. The majority opinion offers five rationales to support its disavowal of the Schmerber and Fuller-Chapel mile: (1) a rational basis because of the statistical probability of fixture crimes by recidivists, (2) a minimal intrusion analogous to that of sobriety checkpoint stops on public highways, (3) a lessened expectation of privacy in bodily integrity for convicts, (4) an acceptable use of the information analogous to fingerprinting, and (5) the statute’s mandate of an evenhanded approach
First, the majority claims that the balancing test here is different and weighs in favor of the government because the statute’s mandated coercive blood testing bears a rational relationship to the public’s “incontestable” interest in identifying and prosecuting criminals. Providing the rational link between means and goal is the evidence of recidivism among murderers and some classes of sexual offenders and the fact that perpetrators of murders and some of the listed sexual offenses are likely to leave behind DNA evidence that can be matched against criminal data banks.
The majority cannot distinguish Schmerber on this basis, because furthering the public’s interest in prosecuting criminals was also the purpose for the blood test in Schmerber. In addition, the rational relationship to the goal of prosecuting perpetrators of potential future crimes is certainly more attenuated than the direct relationship of the blood testing in Schmerber to the goal оf finding evidence of blood alcohol content for use in the prosecution of a drunk driver who has already violated the law. Because Schmerber requires probable cause for blood extraction in the latter circumstance, a mere statistical enhancement of future crimesolving capacity is insufficient to tip the Fourth Amendment’s reasonableness balance a different way on the same issue. The majority’s approach stands Fourth Amendment jurisprudence on its head by suggesting that statistical probabilities of future conduct can suffice in lieu of the probable cause requirement in the traditional law enforcement context.
Second, the majority implicitly likens blood extraction to brief investigatory stops of motorists at sobriety checkpoints, the unique situation in which the Supreme Court has approved suspicionless searches'in the traditional law enforcement context. See Michigan Dep’t of State Police v. Sitz,
Like the highway sobriety checkpoints, the “special needs beyond normal law enforcement” rationale supports searches on lesser grounds than probable cаuse only in a very few, carefully tailored regulatory contexts that do not involve apprehension of criminal perpetrators. See, e.g., National Treasury Employees Union v. Von Raab,
Third, the majority suggests that a person’s status as a convict is sufficient to allow noneonsensual extraction of blood unrelated to securing evidence for use in the prosecution of the individual for the crime for which he or she was convicted, just as status as an arrestee is sufficient to allow fingerprinting. Nonetheless, routine searches that intrude into prisoners’ bodies without probable cause may be upheld only when the search is undertaken pursuant to a valid prison regulation that is reasonably related to a legitimate penological objective. Turner v. Safley,
Felons enjoy those constitutional rights that are not subject to attenuation because of the security concerns of the prison context. Bell v. Wolfish,
The majority’s rationale ultimately rests on a fourth indefensible premise that, even in the absence of prison regulations to achieve penological objectives, the protections of the Fourth Amendment do not apply to this particular use of forced blood extraction of convicted offenders for creation of a criminal identification data bank.
This premise fails, because the Supreme Court and this circuit have consistently recognized a distinction of constitutional significance between a forced invasion of bodily integrity and fingerprinting. Blood samples for DNA genetic pattern analysis must be extracted by puncturing the skin and withdrawing body fluids. Schmerber clearly requires a warrant for that forced blood extraction, unless probable cause combines with exigent circumstances such as the dissipation of blood alcohol evidence. In addition, DNA genetic pattern analysis is even more intrusive than the blood alcohol test, discussed in Schmerber and Skinner, which revealed only the current blood levels of alcohol and other behavior-altering substances. DNA genetic pattern analysis catalogs uniquely private genetic facts about the individual that should be subject to rigorous confidentiality requirements even broader than the protection of an individual’s medical records. See Whalen v. Roe,
Conversely, individuals have a categorically different and lesser expectation of privacy in their fingerprints, visual images, or voice prints — even when their production is compelled — because they are personal attributes that are routinely exposed to the public at large in daily life. Katz v. United States,
[ T]he Fourth Amendment provides no protection for what ‘a person knowingly exposes to the public’ ... Like a man’s facial characteristics, or handwriting, Ms voice is repeatedly produced for others to hear. No person can have a reasonable expectation that others will not know the sound of Ms voice, any more than hе can reasonably expect that Ms face will be a mystery to the world____
The required disclosure of a person’s voice is thus immeasurably further removed from the Fourth Amendment protection than was the intrusion into the body effected by the blood extraction in Schmerber.... Rather, this is like the fingerprinting in Davis, ... [which] “involves none of the probing into an individual’s private life and thoughts that marks an interrogation or search.”
United States v. Dionisio,
Finally, the majority relies heavily on safeguards arising from statutory mandates, such as the lack of discretion in determining whether to perform a blood test and clear standards definmg the class of individuals to whom the statute applies, that are primarily relevant in the special needs context. See, e.g., Von Raab,
Despite all our precedent recognizing invasion of the body as an intrusion of a scope fundamentally different from the coerced production of photographs, voice prints, or fingerprints in wMch we have a minimal expectation of privacy, the practical consequence of the majority’s opirnon is that certain convicts and ex-convicts who have completed their period of incarceration have no Fourth Amendment right to body integrity. TMs is a direct result of the majority’s mistaken conflation of the carefully circumscribed special needs exception for regulatory contexts with traditional law enforcement balancing. It suggests that any class may be targeted for disfavored Fourth Amendment treatment if statistics predict that members of the class are more likely to engage in future criminal behavior than are other groups of citizens. Cf. State ex rel. Juvenile Dep’t v. Orozco,
In ruling today that persons who have bеen convicted of particular crimes may be forced to submit to a blood test that may assist in apprehending perpetrators of potential future crimes, the majority takes an un
. Except when the prison security rationale applies, every case in which the Supreme Court has upheld Fourth Amendment searches without individualized suspicion has involved a consensual aspect to the search.
. The fact that Wolfish specifically involved pretrial detainees rather than convicts does not diminish its relevance, because the Court explicitly held that the prison security rationale "applies equally to pretrial detainees and convicted prisoners.” Id. at 546,
. The majority claims that invasion of an inmate’s bodily integrity is justified because a convict's identity is "a matter of stаte interest.” This analysis begs the question, because DNA information is much more than merely an identifying marker. Therefore, the use to which the information will be put cannot alone determine whether blood extraction for DNA analysis invades constitutionally significant interests. Today, technology allows us to insert a microchip beneath the skin and later scan the microchip for a positive identification of the individual. Under the majority's analysis, such microchip insertion would be permissible because of its function to identify criminals, even though it violates our precedent regarding the intrusiveness of an invasion of bodily integrity. As technology develops, there may well be other, more intrusive possibilities for verifying an individual’s identity. Surely, the Fourth Amendment’s proscriptions against search procedures that invade bodily integrity shield the individual from such intrusions, even though the procedures could yield enormously useful fruits for regular law enforcement purposes.
. Even so, investigative detention for fingerprinting is not valid unless it is supported by probable cause or reasonable suspicion that it will “establish or negate the suspect’s connection” to the crime committed. Id. at 817,
