Lead Opinion
OPINION
This case presents the question of whether Minn.Stat. § 609.117, subd. 1(1) (2010), violates the prohibition against unreasonable searches and seizures, or the Equal Protection Clause in either the U.S. or Minnesota Constitutions. Subdivision 1(1) requires a defendant charged with a felony and then convicted of a misdemean-
In September 2008, Johnson was charged with felony domestic assault in violation of Minn.Stat. § 609.2247, subd. 2 (2010) (prohibiting a person from assaulting a family or household member by strangulation), and misdemeanor fifth-degree assault in violation of Minn.Stat. § 609.224, subd. 1(2) (2010) (prohibiting a person from intentionally inflicting or attempting to inflict bodily harm on another), arising out of an incident in which Johnson allegedly punched and strangled A.J. while Johnson was intoxicated.
Before trial, the State offered to dismiss the felony domestic assault charge in exchange for Johnson’s guilty plea to an amended charge of misdemeanor domestic assault in violation of Minn.Stat. § 609.2242, subd. 1(1) (2010) (prohibiting a person from engaging in conduct with the intent to cause another to fear immediate bodily harm). Johnson accepted the offer. At the guilty plea hearing, the parties disagreed about whether Johnson was required to submit a DNA sample pursuant to section 609.117, subdivision 1(1). The district court allowed the parties to brief the DNA-sample issue, and indicated that if the court ruled against Johnson, he could withdraw his guilty plea. Johnson pleaded guilty to the amended charge, and the district court scheduled a sentencing hearing.
At the sentencing hearing, Johnson argued that the portion of section 609.117, subdivision 1(1), that requires a defendant convicted of a misdemeanor to submit a DNA sample violated the prohibitions against unreasonable searches and seizures and was a denial of equal protection of the laws in violation of the U.S. and Minnesota Constitutions. The district court rejected Johnson’s arguments and concluded the statute is constitutional. Johnson chose not to withdraw his guilty plea, and the court entered a judgment of conviction and imposed sentence. Johnson’s 90-day sentence was stayed, and Johnson was placed on probation for two years. The conditions of Johnson’s probation were, among other things: (1) that he not commit another assault, violate a protection order applicable to him, or interfere with a 911 call; (2) that he complete a domestic violence education program; (3) that he submit to random urinalysis; and (4) that he abstain from alcohol and non-prescribed drugs. The court also ordered the DNA sample, but stayed the order pending appeal.
In a published opinion, the court of appeals affirmed the district court’s conclusion that section 609.117, subdivision 1(1), is constitutional as applied to a defendant charged with a felony and then convicted of a misdemeanor arising out of the same set of circumstances. State v. Johnson,
I.
Johnson argues that Minn.Stat. § 609.117, subd. 1(1), is unconstitutional because it requires a defendant convicted of a misdemeanor to provide a DNA sample in violation of the Fourth Amendment to the U.S. Constitution and Article I, Section 10, of the Minnesota Constitution. The State argues that a defendant charged with a felony and then convicted of a misdemeanor arising out of the same set of circumstances has a reduced expectation of privacy, and that the State’s interest in DNA collection outweighs that reduced expectation of privacy; therefore, collecting a DNA sample from that defendant is not an unreasonable search or seizure.
The constitutionality of a statute presents a question of law, which we review de novo. State v. Melde,
To answer the question presented, we must examine the statutes that authorize the collection of a biological specimen and the provisions of the U.S. and Minnesota Constitutions that prohibit unreasonable searches and seizures, and then apply the constitutional protections to the statutes at issue in this case.
Section 609.117, subdivision 1, provides that a
court shall order an offender to provide a biological specimen for the purpose of DNA analysis as defined in section 299C.155 when: (1) the court sentences a person charged with committing or attempting to commit a felony offense and the person is convicted of that offense or of any offense arising out of the same set of circumstances.1 -1 -1
It is undisputed that Johnson, who was charged with felony domestic assault by strangulation and then convicted of misdemeanor domestic assault “arising out of the same set of circumstances,” was convicted of a crime that satisfies the requirements of section 609.117, subdivision 1(1).
Section 609.117, subdivision 1, incorporates the definition of “DNA analysis” in section 299C.155, subdivision 1. DNA analysis means “the process through which deoxyribonucleic acid (DNA) in a human biological specimen is analyzed and compared with DNA from another human biological specimen for identification purposes.” Minn.Stat. § 299C.155, subd. 1 (2010). Thus, the term “DNA analysis” is expressly limited to the collection and analysis of a biological sample for identification purposes. Id.; accord Minn.Stat. § 299C.09 (2010). Section 609.117, subdivision 1, does not authorize the collection of a biological sample for any other purpose.
The precise question we must decide is whether the collection of biological specimens for identification purposes authorized by section 609.117, subdivision 1(1), is an unreasonable search and seizure in violation of the U.S. and Minnesota Constitutions. The Fourth Amendment to the U.S. Constitution states that “[t]he right of the people to be secure in their persons, houses, papers, and effects, against unreasonable searches and seizures, shall not be violated.” U.S. Const, amend. IV. The language of Article I, Section 10, of the Minnesota Constitution is identical. “The touchstone of the Fourth Amendment is reasonableness.... ” United States v. Knights,
Recently, the Supreme Court applied the totality-of-the-circumstances test to eases involving warrantless searches of probationers and parolees convicted of a felony. Samson v. California,
Similarly, in Samson v. California, the Court applied the totality-of-the-circumstances test to a suspicionless search of a parolee conducted pursuant to a California law, which provided that, as a condition for release, every prisoner eligible for state parole must agree to be subject to a search or seizure by a parole officer or other peace officer with or without a search warrant and with or without cause.
A majority of federal circuits have applied the Knights-Samson totality-of-the-circumstances test to address the reasonableness of warrantless, suspicionless searches under the Federal DNA Act, 42 U.S.C. § 14135a (2006). Currently, eight circuits have concluded these searches are not unreasonable and therefore do not violate the Fourth Amendment.
In State v. Bartylla, we considered whether the collection of a convicted felon’s DNA, as authorized by Minn.Stat. § 609.117 (2002), violated the prohibitions of the U.S. and Minnesota Constitutions against warrantless, suspicionless searches.
The State admits that the taking of Johnson’s biological specimen pursuant to section 609.117, subdivision 1(1), for criminal identification purposes constitutes a search within the meaning of the U.S. and Minnesota Constitutions.
The taking of DNA samples for identification purposes implicates two privacy interests: (1) an expectation of privacy in one’s bodily integrity, and (2) an expecta
Johnson argues BaHylla applies only to the DNA samples taken from defendants convicted of a felony and incarcerated, who have “severely diminished privacy expectations.” Thus, he argues that we should not extend Bartylla beyond those defendants convicted of a felony. In Bartylla we adopted the Knights-Samson totality-of-the-circumstances test to determine whether a particular search is reasonable. Consequently, we must examine the nature of the physical intrusion on Johnson’s bodily integrity, and Johnson’s reasonable expectation of privacy in his identity. See Bartylla,
Here, the prosecutor determined that there was probable cause to charge Johnson with felony domestic assault by strangulation, in violation of Minn.Stat. § 609.2247, subd. 2, and the district court signed the complaint, concluding that there was probable cause to charge Johnson.
We conclude that the physical intrusion of Johnson’s bodily integrity to acquire the DNA sample is minimal, especially when compared to the other intrusions Johnson is subjected to as part of his probation, including random urinalysis. Moreover, the physical intrusion of Johnson’s bodily integrity — a buccal swab inside Johnson’s cheek — is no greater than the intrusion in Bartylla, which we held constituted a minimal intrusion. Bartylla,
We next examine whether Johnson had a reasonable expectation of privacy in his identity. We have recognized that there is a hierarchy of expectations of privacy, such that incarcerated prisoners have less of a privacy expectation than probationers, parolees, or conditional re-leasees. Id. at 17; State v. Anderson,
On the other side of the totality-of-the-circumstances analysis is “the degree to which [the DNA collection] is needed for the promotion of legitimate governmental interests.” Samson,
Johnson argues In re the Welfare of C.T.L.,
Johnson also argues that decisions from other state courts support his conclusion that a felony conviction is required before DNA may be collected without a warrant. The two cases upon which Johnson relies are easily distinguishable. In State v. McKinney, the Nebraska Supreme Court analyzed the reasonableness of a statute allowing the collection of DNA samples from individuals for use in a -specific investigation, and concluded that the government’s interest in taking DNA for investigation of a particular crime did not outweigh a defendant’s privacy interest.
Moreover, other jurisdictions have not uniformly limited DNA collection to felony convictions.
In summary, we conclude that when a person is convicted of a misdemeanor offense that arises out of the same set of circumstances as a felony charge and that person’s sentence includes probation with conditions such as random urinalyses, there is a significant reduction in that person’s expectation of privacy in his or her identity. Additionally, the State’s interests in exonerating the innocent, deterring recidivism, identifying offenders of past and future crimes, and bringing closure to victims of unsolved crimes are substantial. Applying the totality-of-the-circumstances test to the facts of this case, we conclude that DNA collection by buccal swab for identification purposes is not an unreasonable search. Accordingly, we conclude that the statutorily-mandated collection of Johnson’s DNA pursuant to section 609.117, subdivision 1(1), does not constitute an unreasonable search or seizure under the U.S. or Minnesota Constitutions.
II.
Johnson argues that Minn.Stat. § 609.117, subd. 1(1), deprives him of his right to equal protection of the laws in violation of the U.S. and Minnesota Constitutions. Specifically, he contends that the statute is unconstitutional because it requires a defendant charged with a felony and then convicted of a misdemeanor arising out of the same set of circumstances to provide a DNA sample, but does not require a DNA sample from defendants convicted of a misdemeanor but not charged with a felony. The State counters that these two categories of defendants are not similarly situated, and thus no equal protection violation exists.
The constitutionality of a statute presents a question of law that we review de novo. State v. Melde,
The Equal Protection Clause of the Fourteenth Amendment to the U.S. Constitution provides that “[n]o state shall ... deny to any person within its jurisdiction the equal protection of the laws.” Article I, Section 2 of the Minnesota Constitution provides that “[n]o member of this state shall be disfranchised or deprived of any of the rights or privileges secured to any citizen thereof, unless by the law of the land or the judgment of his peers.” We have previously concluded “[b]oth clauses have been analyzed under the same principles.” Kolton v. Cnty. of Anoka, 645
Our precedent establishes different tests for rational basis review. First, the “similarly situated” test states that a statute violates equal protection when it “prescribes different punishments or different degrees of punishment for the same conduct committed under the same circumstances by persons similarly situated.” State v. Frazier,
The threshold question in an equal protection claim is whether the claimant is treated differently from others to whom the claimant is similarly situated in all relevant respects. State v. Cox,
Accordingly, we hold that section 609.117, subdivision 1(1) does not violate the Equal Protection Clauses of the U.S. or Minnesota Constitutions by requiring Johnson to submit a DNA sample for analysis.
Affirmed.
Notes
. The dissent suggests that Minn.Stat. § 609.117 compels the collection of "biological specimens from persons merely charged for certain crimes.” But the plain language of section 609.117 requires a conviction before a biological sample may be collected.
. The dissent argues that the State has failed to establish that the collection of a biological specimen to obtain highly personal genetic information is a reasonable search. But that is not the issue before the court. Rather, the question is whether the collection of a biologi
. See United States v. Weikert,
. According to the dissent, the statutory DNA collection procedure is a “full-scale personal DNA search! ]” that exposes “exceptionally private information” to public view, including a "person’s health, propensity for particular disease, race and gender characteristics, and perhaps even propensity for certain conduct.” We disagree. Section 609.117, subdivision 1(1), authorizes the collection of DNA samples from a narrowly defined set of individuals convicted of a misdemeanor arising out of the same set of circumstances that provided probable cause for a felony charge. The governmental use of the data is to determine a DNA profile for the limited purpose of criminal identification. Further, access to the information is restricted to law enforcement officers conducting criminal investigations. In summary, nothing in Minn.Stat. § 609.117, subd. 1, authorizes a full-scale personal DNA search that exposes "exceptionally private information” to public view, including a "person’s health, propensity for particular disease, race and gender characteristics, and perhaps even propensity for certain conduct.” Rather, Minn.Stat. § 299C.155 limits the use of the DNA profile to criminal identification. Specifically, subdivisions 3 and 4 provide that the DNA profile may be used only for criminal identification purposes. Id.., subds. 3, 4.
. One commentator has criticized the Knights-Samson totality-of-the-circumstances test. See 5 Wayne R. LaFave, Search & Seizure, § 10.10(c) (4th ed.2004). But LaFave’s criticisms of the Knights-Samson test would apply equally to felony and misdemeanor cases. In Bartylla, which was decided four years after LaFave’s criticism, we adopted the Knights-Samson totality-of-the-circumstances test, and applied the test to a felony case. Pursuant to the doctrine of stare decisis, we do not overrule prior decisions absent a compelling reason. State v. Martin,
. At oral argument, Johnson argued that a search subject to Fourth Amendment protection occurs each time the DNA database is accessed by law enforcement. Johnson has not previously raised this argument in either the district court or the court of appeals, and therefore we decline to address it now. State v. Spence,
. As discussed in more detail below, Johnson’s and Bartylla’s DNA samples were collected for the same limited purpose — identification. We do not consider whether an intrusion into Johnson’s body to obtain DNA for purposes other than identification would violate the Fourth Amendment.
. A felony charge can be prosecuted only by complaint or indictment. See Minn. R.Crim. P. 17.01. Moreover, a complaint cannot be issued without a prosecutor's signature, and a judge must make a determination that probable cause exists. Minn. R.Crim. P. 2.01, 2.02; see State v. Lopez,
. Johnson argues that the dismissed felony charge is irrelevant to the analysis. We disagree. Pursuant to Minn. R.Crim. P. 6.02, the district court properly considered the serious nature of the felony charge when the court ordered conditions of release, including random urinalysis, which lowered Johnson’s expectation of privacy. Johnson has not argued that the felony charge should have been dismissed for lack of probable cause, nor has he challenged the conditional release terms imposed by the district court. The temporary reduction in Johnson's expectation of privacy caused by the lawful pretrial conditions might not have been sufficient in itself to warrant the collection of a DNA sample. See In re the Welfare of C.T.L.,
. We note that, pursuant to Minn.Stat. § 609.2242, subd. 3(d) (2010), Johnson’s misdemeanor conviction prohibits him from possessing a firearm for three years. This mandatory statutory restriction on firearm possession is another factor that supports a determination that the circumstances of Johnson’s conviction reduced his expectation of privacy.
. The dissent contends that Johnson's expectation of privacy in biological specimens containing his DNA is "essentially the same” as an “ordinary citizen.” We disagree for several reasons. First, Johnson was charged with a felony and convicted of a misdemeanor arising out of the same set of circumstances. Thus, Johnson is no ordinary citizen. Additionally, Johnson was required as a condition of probation to submit to ongoing random urinalyses, which diminishes his expectation of privacy. See Skinner,
. The dissent contends that the State failed to prove that DNA collection was necessary to promote legitimate State interests. But Johnson did not challenge the State’s assertion that its interests in DNA collection were the same as in Bartylla — “exonerating the innocent, deterring recidivism, identifying offenders of past and future crimes, and bringing closure for victims of unsolved crimes.” Rather, Johnson argued that his privacy interest outweighs the State’s interests.
. See Me.Rev.Stat. Ann. tit. 25, § 1574(4)(N), 5(H) (2007) (requiring DNA collection from every person convicted of ”[a]ny lesser included offense” of any charged qualifying crime); N.J. Stat. Ann. § 53:l-20.20g (West 2010) (”[E]very person convicted ... of a crime shall have a blood sample drawn or
Dissenting Opinion
(dissenting).
I respectfully dissent. The collection of the biological specimen for DNA constitutes an intrusion upon personal security and dignity. The search of the DNA implicates strong privacy interests apart from those intruded upon by the collection of the specimen. Given the potential for exposure of exceptionally private information contained in the DNA, I find these full-scale personal DNA searches highly intrusive. The State claims that the collection and retention of biological specimens from misdemeanants for DNA serves the same interests as the collection and retention of specimens from felony offenders. But the State has not substantiated these claims. I would conclude that the State’s interest in taking a biological specimen from a person convicted of only a misdemeanor for DNA profiling
I.
Randolph Johnson, Jr., was charged with felony domestic assault (strangulation), Minn.Stat. § 609.2247, subd. 2 (2010), and fifth-degree misdemeanor assault (harm), Minn.Stat. § 609.224, subd. 1(2) (2010), arising out of an incident with his wife in his home. Johnson pleaded guilty to misdemeanor domestic assault (fear), Minn.Stat. § 609.2242, subd. 1(1) (2010). Johnson admitted to raising his voice to his wife in a manner that may have put her in fear of imminent bodily harm. The court sentenced Johnson to a 90-day stayed sentence, with credit for four days already served, and placed him on supervised probation. Pursuant to Minn.Stat. § 609.117, subd. 1(1) (2010), which requires collection of a DNA sample from any person charged with a felony offense and convicted of “any offense arising out of the same set of circumstances” as the felony charge, the court also ordered that Johnson provide a DNA sample but stayed that order pending the result of an appeal.
Johnson appealed, arguing that the application of Minn.Stat. § 609.117, subd. 1(1), to a person who was not convicted of a felony violates (1) his right to be free from unreasonable searches and seizures under the Fourth Amendment to the U.S. Constitution and Article I, Section 10, of the Minnesota Constitution; and (2) his right to equal protection under the Fourteenth Amendment to the U.S. Constitution and Article I, Section 2, of the Minnesota Constitution. The court of appeals affirmed the decision of the district court.
Minnesota Statutes § 609.117, subd. 1(1), requires “a person charged with committing or attempting to commit a felony offense and ... convicted of that offense or of any offense arising out of the same set of circumstances” to provide a DNA sample for inclusion in a database maintained by the Bureau of Criminal Apprehension (BCA). The BCA database is a “centralized system to cross-reference data obtained from DNA analysis.” Minn.Stat. § 299C.155, subd. 3 (2010). The database can be used to generate investigative leads by matching DNA profiles from samples collected at a crime scene to known profiles in the DNA database. State v. Bartylla,
Johnson challenges the constitutionality of Minn.Stat. § 609.117, subd. 1(1), arguing that the statute authorizes an unreasonable warrantless, suspicionless search in violation of the Fourth Amendment to the U.S. Constitution and Article I, Section 10, of the Minnesota Constitution. The State argues that the statute is constitutional because the factors on which we relied in Bartylla to uphold the collection of biological specimens for DNA from convicted, incarcerated felony offenders also apply to misdemeanants.
II.
The constitutionality of a statute is a question of law, which we review de novo. Hamilton v. Comm’r of Pub. Safety,
The Fourth Amendment to the U.S. Constitution provides:
The right of the people to be secure in their persons, houses, papers, and effects, against unreasonable searches and seizures, shall not be violated; and no Warrants shall issue, but upon probable cause, supported by Oath or affirmation, and particularly describing the place to be searched, and the persons or things to be seized.
U.S. Const, amend. IV.
To place the current debate in perspective, a brief tour of Fourth Amendment history is required. Under the Fourth Amendment, “a search conducted without a warrant issued upon probable cause is ‘per se unreasonable ... subject only to a few specifically established and well-delineated exceptions.’ ” Schneckloth v. Bustamonte,
The special needs exception applies “in those exceptional circumstances in which special needs, beyond the normal need for law enforcement, make the warrant and probable-cause requirement impracticable.” New Jersey v. T.L.O,
The Camara balancing test has been used in circumstances in which the government’s need concerned the interest in
In Griffin v. Wisconsin, the Supreme Court used the special needs exception in upholding a warrantless search of a probationer’s home pursuant to Wisconsin’s search regulation and “reasonable grounds” to believe that contraband was present.
The Court returned to probation searches in United States v. Knights,
The Supreme Court reversed, rejecting Knights’ view that Griffin controlled, and declining to decide whether the search condition constituted valid consent. Id. at 117-18, 122,
On the interest of privacy, the Court found that where the “probation order clearly expressed the search condition,” and that “Knights was unambiguously informed of it,” the probation condition “significantly diminished Knights’ reasonable expectation of privacy.” Id. at 119-20,
The Court held “that the balance of these considerations requires no more than reasonable suspicion to conduct a search of this probationer’s house.” Id. at 121,
The Court answered that question in Samson v. California, holding that “the Fourth Amendment does not prohibit a police officer from conducting a suspicion-less search of a parolee.”
On September 6, 2002, Samson, a parolee, was walking down a street with a friend and her three-year-old child. Samson was stopped by a police officer who knew Samson was on parole. Id. at 846,
In determining the validity of the search, the Court used the new Knights totality-of-the-circumstances balancing test, starting with Samson’s “status as a parolee, ‘an established variation on imprisonment,’” and the probation search condition under California law, which had been “ ‘clearly expressed’ ” to Samson. Id. at 852,
Justice Stevens, joined by Justices Souter and Breyer, dissented, noting that case precedent “consistently assumed that the Fourth Amendment provides some degree of protection for probationers and parolees,” and asserting that “neither Knights nor Griffin supports a regime of suspicion-less searches, conducted pursuant to a blanket grant of discretion untethered by any procedural safeguards, by law enforcement personnel who have no special interest in the welfare of the parolee or probationer.” Id. at 857,
The Knights-Samson balancing approach has prompted much concern:
Because Knights purports to be utilizing “our general Fourth Amendment approach” and not a “special need” analysis, it can only be assumed that what the Court has to say in Knights has more general application as to the Court’s interpretation of the Fourth Amendment in other cases in which the basic question is, as in Knights, whether the two fundamental protections of the Amendment — the warrant and probable cause requirements — are applicable. The mere suggestion that these protections might be balanced away in a great variety of circumstances is troubling enough in and of itself, but once it is seen what the Court deemed appropriate in Knights to place in the balance, there is even greater cause for concern.
5 Wayne R. LaFave, Search & Seizure, § 10.10(c) (4th ed.2004). Professor LaFave finds the “move from a ‘special needs’ analysis” in Griffin “to a less-restrained ‘totality of the circumstances’ balancing” in Knights and Samson “especially trouble
Suspicionless Search Programs. In finding suspicionless-search programs created by state and federal DNA indexing laws constitutional under the Fourth Amendment, the majority of federal courts have relied on the Knights-Samson “totality of the circumstances” balancing test. United States v. Kraklio,
“The overriding function of the Fourth Amendment is to protect personal privacy and dignity against unwarranted intrusion by the State.” Schmerber v. California,
In assessing the privacy interest in this case, we should first examine the extent to which compelled collection of a person’s DNA would intrude upon the privacy of an ordinary citizen not charged with any crime. That requires consideration of both the method of the intrusion and the person’s expectation of privacy in his or her DNA. See Bartylla,
A.
I begin with analyzing the extent to which suspicionless collection of a person’s DNA would intrude upon the privacy of an ordinary Minnesota citizen. “[T]he Fourth Amendment protects people, not places.” Katz v. United States,
In Bartylla, we talked about only the physical intrusion in obtaining DNA and not about the analysis of DNA itself.
The inquiry into the constitutionality of collecting DNA samples from convicted offenders should not stop at the moment of collection. Rather, we need to consider “ ‘the nature of the privacy interest upon which the search here at issue intrudes’ and the degree to which the intrusion affects this interest.” In re the Welfare of M.L.M.,
An individual’s DNA contains a wealth of information. Likewise, the noncoding regions used in DNA profiling “can indicate or predict disease states, and all loci, coding and noncoding alike, can be used for parentage testing.” Concededly, the DNA profiles maintained in the CODIS database contain purely biometric identifiers that are “represented in the data base ... as a series of digits comparable to social security numbers or passport numbers.” Privacy concerns, however, are implicated by the maintenance of DNA samples in a databank, much like a blood bank.
Tracey Maclin, Is Obtaining an Arrestee’s DNA a Valid Special Needs Search Under the Fourth Amendment? What Should (and Will) the Supreme Court Do?, 34 J.L. Med. & Ethics 165, 169 (2006) (quoting David H. Kaye, Commentary, Two Fallacies About DNA Data Banks for Law Enforcement, 67 Brook. L.Rev. 179, 187, 192 (2001)).
To understand the privacy implications of the collection and indexing of a person’s DNA profile into a centralized database, we need a basic understanding of both DNA itself and the process by which a biological specimen is taken and the DNA profile generated. The human body contains several trillion cells. Nat’l Inst, of Justice, The Future of Forensic DNA Testing 8 (2000) (hereinafter NIJ). Each cell contains 23 pairs of microscopic bodies called chromosomes. Id. at 8-10. The core of a chromosome is a long thread of deoxyribonucleic acid, more commonly known by the abbreviation DNA. Id. at 10. DNA is made up of four nucleotides, called bases, abbreviated A, T, C, and G, that are repeated over and over in pairs: A always pairs with T, and C always pairs with G. Id. “The arrangement of base pairs in chromosomal DNA comprises the genetic code that differentiates humans from non-humans and makes every person unique.” United States v. Shea,
A gene is an area of DNA 1,000 to 100,000 or more base pairs in length that provides instructions on how to produce something — usually a protein. NIJ, supra, at 11. Genes make up only about 3% of human DNA. Id. at 12. The rest are known as “non-coding” DNA, or “junk DNA,” because they have no known biological function. Id.
The set of all base pairs in all the pairs of chromosomes in a body cell is called a genome. Id. at 10. The human genome is six billion base pairs long. Id. No two people, other than identical twins, have the same DNA, but the vast majority of the human genome is the same from person to person. Id. DNA from two unrelated people will differ only in 1 out of 1,000 base pairs on average. Id.
DNA is often referred to as the “blueprint” for life. See Shea,
The significance of DNA — indeed, the only reason for collecting biological specimens for DNA — is the information it provides. Biological specimens obtained for DNA have the potential to reveal extremely personal information. State v. Raines,
Minnesota’s DNA collection statute recognizes that our citizens have a protected privacy interest in DNA information. Data contained in the DNA database is classified as private data under the Minnesota Government Data Practices Act. Minn.Stat. § 299C.155, subd. 3. To be sure, the DNA collection process contains safeguards to protect privacy. The information stored in the DNA database is not the full DNA sequence, but a DNA profile — a set of numbers based on comparisons of the repetitions in thirteen “non-coding” locations on the human genome. But the fact that these regions are currently believed to contain no genetic information does not guarantee that they will never reveal traits. “Recent studies have begun to question the notion that junk DNA does not contain useful genetic programming material.” Kincade,
Furthermore, the statute’s privacy protections are focused on DNA profiles. The biological specimens are far less controlled. The statute requires the BCA to “maintain, preserve, and analyze human biological specimens for DNA.” Minn.Stat. § 299C.155, subd. 3 (emphasis added). In other words, the statute requires the BCA
This highlights an important difference between collection of a biological specimen and indexing of a DNA profile under the DNA collection statute and the suspicion-less collection of urine samples required as a condition of probation. Urine collected as a condition of probation is used only for the purpose of testing for specified substances. The sample is discarded or destroyed. A DNA profile, however, is not merely the result of a test, but is indexed into a database. The purpose of that database creates a strong incentive to retain the original biological specimens, which are available to perform more intrusive tests in the future.
In conclusion, a person’s DNA deserves the same constitutional protection as other very private and sensitive information; the ordinary citizen in Minnesota has a high expectation of privacy in his or her DNA.
B.
Turning to the question of whether a convicted misdemeanant has a reduced privacy interest that would subject him or her to a full-scale search of private DNA information, I would begin with the consensus that privacy interests in DNA information are clear. We would not and should not countenance compelled collection of biological specimens from the ordinary citizen.
The U.S. Supreme Court has said that probation is “one point (or, more accurately, one set of points) on a continuum of possible punishments ranging from solitary confinement in a maximum-security facility to a few hours of mandatory community service.” Griffin,
Individuals incarcerated in prison are denied “[a] right of privacy in traditional Fourth Amendment terms.” Hudson v. Palmer,
Parolees are persons who have been sentenced to prison for felonies and released before the end of their prison terms.... The only way to get parole in the typical state system is to commit a felony, not merely a misdemeanor, and get sentenced to prison, not merely jail, for a period of time long enough to qualify for release, eventually, on parole. Thus, as distinguished from those not convicted of anything, those convicted of mere misdemeanors and either jailed or not jailed, and those convicted of felonies but not imprisoned for lengthy periods, parolees are persons deemed to have acted more harmfully than anyone except those felons not released on parole.
Probationers are close to the other end of the harmfulness scale. The most typical use of probation is as an alternative to jail for minor offenders, most commonly misdemeanants.... Unlike parolees, who were sent to prison for substantial terms, probationers attain that status from a judicial determination that their conduct and records do not suggest so much harmfulness or danger that substantial imprisonment is justified.
... Constitutional limits on supervision of probationers may be more extensive than those limiting supervision of parolees.
Id. at 1077 (footnotes omitted).
“A probationer’s home, like anyone else’s, is protected by the Fourth Amendment’s requirement that searches be ‘reasonable.’ ” Griffin,
The court concludes that the conditions of Johnson’s probation — in particular random urinalysis — significantly reduces his expectation of privacy. The privacy interest upon which random urinalysis intrudes concerns dignitary harms only for the term of Johnson’s probation. M.L.M.,
The two compelling justifications for establishing a forensic DNA database of sex offenders, violent felons, or all felons is that these individuals are likely to engage in repeated criminal activity, and their conviction of a serious crime forfeits certain rights of bodily integrity and privacy relative to the law enforcement system. With a more comprehensive database, however, especially one in which the entire population is included, neither of these justifications apply.
Mark A. Rothstein & Meghan K. Talbott, The Expanding Use of DNA in Law En
Of additional concern, the DNA collection statute here, compelling biological specimens from persons merely charged for certain crimes, impacts those not guilty of the charged crime, eroding a Minnesota citizen’s right to have the State prove guilt beyond a reasonable doubt.
C.
Finally, I analyze and balance the privacy interest at stake against the extent to which it promotes legitimate government interests.
In fact, data on the effectiveness of DNA indexing appears to be weak. See Frederick R. Bieber, Turning Base Hits into Earned Runs: Improving the Effectiveness of Forensic DNA Data Bank Programs, 34 J.L. Med. & Ethics 222, 222 (2006) (“Data compilations on meaningful metrics of success are critically lacking.”); Rothstein & Talbott, supra, at 154 (“[Tjhere is virtually no scientific, comprehensive, independent, peer-reviewed analysis quantifying the overall effectiveness of DNA databases in solving or preventing crimes.”).
Our decision in Bartylla is not controlling on the question of the government’s interest in this case. Bartylla involved a felony conviction.
Furthermore, it is a dangerous oversimplification to say that the governmental interest in taking a DNA sample is the same whether the sample comes from a person convicted of a felony or a person merely convicted of a misdemeanor. The question is not whether having DNA in the database helps the government compare DNA left at crime scenes with the DNA profiles in the database, it is whether that DNA is likely to turn up a match. A DNA profile added to the database, but which never generates a match, actually reduces the effectiveness of the database because it increases the cost of maintaining and searching the database. We permit felony-level searches in part because we believe that felony offenders are likely to reoffend and that inclusion of their DNA profiles in the database will therefore populate the database with profiles from the people most likely to generate positive search results. The majority’s reasoning — that the government has the same interest in indexing misdemeanant DNA profiles as felony offender DNA profiles— is disturbing because it is only a short step from there to the conclusion that the government has a compelling interest in collecting everyone’s DNA.
In concluding that felons on probation have a diminished expectation of privacy, courts have found that the government’s “interest in apprehending violators of the criminal law, thereby protecting potential victims of criminal enterprise, may ... justifiably focus on probationers in a way that it does not on the ordinary citizen.” United States v. Sczubelek,
. Article I, Section 10, of the Minnesota Constitution uses identical language.
. The "totality of the circumstances” had generally been associated with the validity of a consent search or probable cause. See Ro-binette,
. See also John D. Castiglione, Hudson and Samson: The Roberts Court Confronts Privacy, Dignity, and the Fourth Amendment, 68 La. L.Rev. 63, 105 (2007) ("[T]he [Samson] Court's rather cavalier assumption that the government’s interest in supervising parolees overrides the interest of the parolee to be searched only when there is reason to believe some sort of criminal conduct is afoot is disturbing. This is especially true given the fact that the majority’s opinion fails to argue compellingly that such suspicionless searches actually serve the penological, rehabilitative, and reintegrationist goals of parole.”); David A. Moran, The End of the Exclusionary Rule, Among Other Things: The Roberts Court Takes on the Fourth Amendment, 2006 Cato Sup.Ct. Rev. 283, 295 (arguing that ”[t]he effect of Samson is indeed sweeping,” leading to " an unprecedented curtailment of liberty’ for nearly a million of our fellow citizens,” (quoting Samson,
. Prior to Bartylla', we applied the Knights balancing test to a probation officer’s war-rantless search of a felon's home based on reasonable suspicion of criminal activity and a search condition in the probation agreement. State v. Anderson,
. Despite what appears to be a welter of different conceptions of privacy, [Professor So-love] argue[s] that they can be dealt with under six general headings ... (1) the right to be let alone ...; (2) limited access to the self — the ability to shield oneself from unwanted access by others; (3) secrecy — the concealment of certain matters from others; (4) control over personal information ...; (5) personhood — the protection of one’s personality, individuality, and dignity; and (6) intimacy — control over, or limited access to, one's intimate relationships or aspects of life.
Daniel J. Solove, Conceptualizing Privacy, 90 Cal. L.Rev. 1087, 1092 (2002).
. The collection and retention of DNA in a centralized databank also "carries with it all of the dangers inherent in allowing the government to collect and store information about its citizens in a centralized place.” Kincade,
. See Minn.Stat. § 609.3461, subd. 1 (1992).
. Act of May 20, 1993, ch. 326, art. 10, § 15, 1993 Minn. Laws 1974, 2096-97 (codified at Minn.Stat. § 609.3461, subd. 1(1) (1994)).
. Act of May 25, 1999, ch. 216, art. 3, §§ 7, 9, 1999 Minn. Laws 1271, 1314-16 (codified at Minn.Stat. § 609.117, subd. 1(1) (2000)).
. Act of June 2, 2005, ch. 136, art. 12, § 9, 2005 Minn. Laws 901, 1064-65 (codified at Minn.Stat. § 609.117, subd. 1(1) (2010)).
. The reasonable-doubt standard has constitutional stature. See In re Winship,
. I want to emphasize again my belief that we have taken a wrong turn in our jurisprudence by balancing away two fundamental protections of the Fourth Amendment — the warrant and probable cause.
. Because I would hold that Minn.Stat. § 609.117, subd. 1(1), is unconstitutional under the Fourth Amendment as applied to Johnson, I would not reach Johnson's equal-protection argument.
Dissenting Opinion
(dissenting).
I join in the dissent of Justice Meyer.
Dissenting Opinion
(dissenting).
I join in the dissent of Justice Meyer.
