Lead Opinion
In 2004 we held that the DNA Analysis Backlog Elimination Act of 2000 “satisfies the requirements of the Fourth Amendment” with respect to individuals on supervised release. United States v. Kincade,
In 2000, Congress enacted the DNA Analysis Backlog Elimination Act (the “DNA Act” or the “Act”), which required DNA samples to be collected from individuals in custody and those on probation, parole, or supervised release after being convicted of “qualifying Federal offenses.” 42 U.S.C. § 14135a. The DNA Act originally defined “qualifying Federal offenses” as the following: (A) murder, voluntary manslaughter, or other offense relating to homicide, (B) an offense relating to sexual abuse, to sexual exploitation or other abuse of children, or to transportation for illegal sexual activity, (C) an offense relating to peonage and slavery, (D) kidnaping, (E) an offense involving robbery or burglary, (F) any violation of 18 U.S.C. § 1153 involving murder, manslaughter, kidnap-ing, maiming, a felony offense relating to sexual abuse, incest, arson, burglary, or robbery, (G) any attempt or conspiracy to commit any of the above offenses. See DNA Analysis Backlog Elimination Act, Pub.L. No. 106-546, § 3, 114 Stat. 2726, 2729-30 (2000). In 2001, the USA PATRIOT Act added to § 14135a “[a]ny offense listed in section 2232b(g)(5)(B) of Title 18 [acts of terrorism transcending national boundaries],” “[a]ny crime of violence (as defined in section 16 of Title 18, United States Code),” and “[a]ny attempt or conspiracy to commit any of the above of~ fenses” to the list of qualifying offenses. See Pub.L. No. 107-56, § 503, 115 Stat. 272, 364 (2001). Together, these qualifying offenses are generally characterized as violent crimes.
Congress passed the Justice for All Act in 2004, which further amended the DNA Act by expanding the definition of “qualifying Federal offenses” as follows:
(d) Qualifying Federal offenses
The offenses that shall be treated for purposes of this section as qualifying Federal offenses are the following offenses, as determined by the Attorney General:
(1) Any felony.
(2) Any offense under chapter 109A of Title 18 [sexual abuse crimes].
(3) Any crime of violence (as that term is defined in section 16 of Title 18).2
(4) Any attempt or conspiracy to commit any of the offenses in paragraphs (1) through (3).
Pub.L. No. 108-405, § 203(b), 118 Stat. 2260, 2270 (2004).
The Attorney General has authority to promulgate regulations to carry out the statute. See 42 U.S.C. § 14135a(e); 28 C.F.R. § 28.2; DNA Sample Collection
As under the original DNA Act, probation offices collect DNA samples from individuals on probation, parole, or supervised release who have been convicted of a qualifying federal offense, 42 U.S.C. § 14135a(a)(2), and the samples are furnished to the Director of the Federal Bureau of Investigation (the “FBI”), “who ... carriles] out a DNA analysis on each such DNA sample and include[s] the results in CODIS,” id. § 14135a(b).
The 2000 Act also provided privacy protection standards, which remain in place after the 2004 amendment. Each act of unauthorized collection, use, or disclosure of a DNA sample is a separate crime, and “[a] person who knowingly discloses a sample or result described in subsection (a) in any manner to any person not authorized to receive it, or obtains or uses, without authorization, such sample or result, shall be fined not more than $250,000, or imprisoned for a period of not more than one year.” 42 U.S.C. § 14135e(c). Subsection (a) provides that in general, “any sample collected under, or any result of any analysis carried out under, section 14135, 14135a, or 14135b of this title may be used only for a purpose specified in such section.” Id. § 14135e(a).
II. Kriesel’s Claims
In March 1999, Thomas Edward Kriesel, Jr. pleaded guilty to one count of conspiracy to commit the crime of possession with intent to distribute methamphetamine in violation of 21 U.S.C. §§ 841(a)(1) and 846. He was sentenced to thirty months of imprisonment and three years of supervised release. At the time of judgment, the terms of Kriesel’s supervised release included this standard condition: “You shall answer truthfully all inquiries by the probation officer and follow the instructions of the probation officer.” Kriesel was also advised that he “shall submit his person, residence, place of employment or vehicle to a search upon request by the U.S. Probation Office.”
When he was initially scheduled for DNA testing, Kriesel informed the probation officer that he was opposed in principle to the government’s collection and permanent storage of his DNA. In August 2005, the Probation Department petitioned the district court to revoke Kriesel’s supervision because he failed to report for DNA testing. Because Kriesel’s conviction for conspiracy to distribute methamphetamine is a felony, it is a “qualifying Federal offense” under the DNA Backlog Elimination Act as amended in 2004. 42 U.S.C. § 14135a(d) (2004). At the hearing on the petition to revoke supervised release, Kriesel’s counsel argued that the Attorney General promulgated the regulation gov
The district court rejected these arguments and upheld both the validity of the regulation and the constitutionality of the Act. The district court also granted a stay of its order pending appeal.
III. APA Challenge
Kriesel first contends that the Attorney General was required to follow the notice and comment procedures in 5 U.S.C. § 553 because in revising 28 C.F.R. § 28.2, the Attorney General promulgated a substantive or legislative rule. The APA provides that administrative rules must be adopted through the rulemaking process, which includes notice and an opportunity for public comment. 5 U.S.C. §§ 551(4), (5); 553. Although not referenced in the statute, the courts have denominated such rules as “legislative rules.” See Richard J. Pierce, Jr., Distinguishing Legislative Rules from, Interpretive Rules, 52 Admin. L. Rev. 547, 549 (2000). In contrast, the APA specifically exempts “interpretive rules” from the rulemaking process. 5 U.S.C. § 553(b)(3)(A).
The Attorney General’s regulation issued in response to the 2004 amendment is a classic interpretive rule: it is a rule “issued by an agency to advise the public of the agency’s construction of the statutes and rules which it administers.” Chrysler Corp. v. Brown,
The 2004 amendment dictates the basis for the regulatory revision. The statute provides in relevant part: “[t]he offenses that shall be treated for purposes of this section as qualifying Federal offenses are the following offenses, as determined by the Attorney General: (1) Any felony.” Justice for All Act, § 203(b).
The Attorney General issued regulations that mirror the statute, by designating “any' felony” as a qualifying offense. 28 C.F.R. § 28.2(b)(1). The regulations define “felony” in accord with federal law as an “offense that would be classified as a felony under 18 U.S.C. § 3559(a) or that is specifically classified by a letter grade as a felony.” Id. § 28.2(a).
Kriesel’s contention, which is not easy to divine, is apparently that by designating “all” felonies, rather than some, the Attorney General was legislating rather than interpreting the statute. This argument is difficult to countenance as the Attorney General simply defined felony in accord with an existing federal standard and adopted the “any felony” designation directly from the statutory language. See H.R.Rep. No. 108-711 (2004), as reprinted in 2005 U.S.C.C.A.N. 2274, 2284,
As the Attorney General explained, he understood the 2004 amendment itself to “authorize[ ] DNA sample collection from all Federal offenders convicted of felonies.” DNA Sample Collection, 70 Fed.Reg. 4,766. We earlier observed that “penalizing the agency” for explaining the bad news about the DNA Act, “by labeling the explanation ‘substantive,’ would be killing the messenger. The regulation impose[s] no other substantive legal duties ... other than what the statute already imposed.”
IV. Constitutional Challenge
Every circuit to' consider a Fourth Amendment challenge to the 2004 Act has reached the same conclusion: collecting DNA from nonviolent felons as authorized by the Act does not violate the Fourth Amendment.
In light of Samson v. California, we continue to ground our analysis in the totality of circumstances test.
Taking our cue from Samson, we reaffirm that “the touchstone of the Fourth Amendment is reasonableness,” id. at 2201 n. 4, and adopt the “general Fourth Amendment approach,” which “ex-amin[es] the totality of the circumstances to determine whether a search is reasonable.” Id. at 2197 (quoting United States v. Knights,
A. Kriesel’s Privacy Interest
In assessing the nature of Kriesel’s privacy interest, “we begin our resolution of the issue by taking note of the well-established principle that parolees and other conditional releasees are not entitled to the full panoply of rights and protections possessed by the general public.” Kincade,
As a direct consequence of Kriesel’s status as a supervised releasee, he has a diminished expectation of privacy in his own identity specifically, and tracking his identity is the primary consequence of DNA collection. The DNA analyzed by the FBI consists primarily of “junk DNA” — “non-genic stretches of DNA not presently recognized as being responsible for trait coding” that were purposefully selected because “they are not associated with any known physical or medical characteristics.” Kincade,
In assessing the nature of the privacy intrusion, we are mindful of the caution that DNA often reveals more than identity, and that with advances in technology, junk DNA may reveal far more extensive genetic information. Judge Gould observed in his concurrence in Kineade, “un
The concerns about DNA samples being used beyond identification purposes are real and legitimate. Nevertheless, those concerns are mitigated by the Act’s privacy protections, which provide criminal penalties for the unauthorized use of DNA samples. They are also outweighed by the competing notion that supervised releasees have little to no privacy interest in their identities. See 42 U.S.C. § 14135e(c) (“A person who knowingly discloses a[DNA] sample or result ... in any manner to any person not authorized to receive it, or obtains or uses, without authorization, such sample or result, shall be fined not more than $250,000, or imprisoned for a period of not more than one year. Each instance of disclosure, obtaining, or use shall constitute a separate offense under this subsection.”).
The physical drawing of blood also implicates Kriesel’s interest in bodily integrity, “a cherished value of our society.” Schmerber v. California,
We emphasize that our ruling today does not cover DNA collection from arres-tees or non-citizens detained in the custody of the United States, who are required to submit to DNA collection by the 2006 ver
B. Government’s Interests
In Kincade, the plurality identified as “undeniably compelling” and “monumental” three governmental interests justifying DNA collection from violent felons: First, “[b]y establishing a means of identification that can be used to link conditional releasees to crimes committed while they are at large,” compulsory DNA profiling serves society’s interest in ensuring that releasees comply with the conditions of their release.
The governmental interest in identifying releasees and linking them to crimes committed while “at large” is significant. While DNA evidence is often central to the investigations of violent crimes such as murder or sexual assault, see Roe v. Marcotte,
With respect to the deterrent effect, “[t]he Supreme Court has repeatedly recognized that rates of re-arrest among parolees and probationers are significantly higher than the general crime rate.” Banks,
Kriesel counters that nonviolent offenders have lower recidivism rates than violent offenders. This argument is not persuasive in Kriesel’s case. Indeed, he is already a recidivist, as he violated the
Finally, the Kincade plurality also explained that “by contributing to the solution of past crimes, DNA profiling of qualified federal offenders helps bring closure to countless victims of crime who long have languished in the knowledge that perpetrators remain at large.”
In sum, we agree in principle with the other circuits that have considered the issue, and hold that in the case before us, requiring Kriesel to comply with the 2004 amendment to the DNA Act is constitutional because the government’s significant interests in identifying supervised releas-ees, preventing recidivism, and solving past crimes outweigh the diminished privacy interests that may be advanced by a convicted felon currently serving a term of supervised release.
AFFIRMED.
Notes
. In so doing, we acknowledge that in Kin-cade and elsewhere, much ink has been spilled over this sensitive and contentious issue, and emphasize that we confine our discussion to resolving the constitutionality of the 2004 amendment, as applied to individuals like Kriesel. Cf.
. 18 U.S.C. § 16 defines “crime of violence” as “(a) an offense that has as an element the use, attempted use, or threatened use of physical force against the person or property of another, or (b) any other offense that is a felony and that, by its nature, involves a substantial risk that physical force against the person or property of another may be used in the course of committing the offense.” All crimes of violence, whether felonies or misdemeanors, are covered by the statute and implementing regulation.
.The Act has since been amended to authorize DNA collection "from individuals who are arrested, facing charges, or convicted [of qualifying felonies,] or from non-United States persons who are detained under the authority of the United States.” See Violence Against Women and Department of Justice Reauthorization Act of 2005, Pub.L. No. 109-162, § 1004(a), 119 Stat. 2960, 3085 (2006). We do not address the constitutionality of the 2006 version of the Act, which greatly expanded the applicability of the statute beyond convicted individuals.
. Kincade provides a fuller description of the mechanics of the DNA Act and CODIS.
. By contrast, the Attorney General specifically acknowledged his discretion in “mak[mg] judgments in determining which particular offenses constitute 'crimes of violence' as defined in 18 U.S.C. [§ ] 16 — but these judgments were already made, following public notice and the receipt of comments, in the version of 28 C.F.R. [§ ] 28.2 that was published on December 29, 2003, and went into effect on January 28, 2004 [68 Fed.Reg. 74,-855]. The revised regulation does not change these determinations.” DNA Sample Collection, 70 Fed.Reg. 4,766.
. Whether a search is unreasonable under the Fourth Amendment is a question of law reviewed de novo. United States v. Stafford,
. Prior to 2007, the Eleventh Circuit allowed citation to unpublished dispositions as persuasive authority. See 11th Cir. R. 36-2, Robert Timothy Reagan, Federal Judicial Center, Citing Unpublished Federal Appellate Opinions Issued Before 2007 (2007), http://www. uscourts. gov/rules/Unpub_Opinions .pdf.
. The federal and state courts have also upheld a variety of other statutes authorizing DNA collection from all convicted felons. See, e.g., Green v. Berge,
. For Fourth Amendment purposes, our cases do not distinguish among parolees, probationers, and those on supervised release. Kin-cade,
. "Should the uses to which 'junk DNA’ can be put be shown in the future to be significantly greater than the record before us today suggests, a reconsideration of the reasonableness balance struck would be necessary,” even with respect to individuals in Kriesel's exact position. Amerson,
. To be sure, the rate of recidivism for nonviolent offenders is less than for violent offenders. Nonetheless, the rate remains significant. For example, the recidivism rate for drug offenders is 21.2%. U.S. Sentencing Commission, Measuring Recidivism: The Criminal History and Computation of the Federal Sentencing Guidelines 30 (May 2004), available at http://www.ussc.gov/research. htm.
Dissenting Opinion
dissenting:
The majority holds, with an air of shrugging inevitability, that without a warrant, without probable cause, indeed without any suspicion whatsoever, the federal government may seize and repeatedly search the DNA of all federal felons on supervised release, regardless of their offense or their likelihood to re-offend. They sanction the inclusion of that DNA in a massive and permanent computer database, the sole purpose of which is to aid generalized criminal investigation. This offends not only the Fourth Amendment but our precedents. I respectfully dissent.
I. Factual Background and Statutory Framework
In March of 1999, Kriesel was convicted of a non-violent drug offense, conspiracy to possess methamphetamine with intent to distribute. He was sentenced to thirty
Non-violent drug offenders like Kriesel fall within a category of federal offenders that, according to government-conducted studies, have one of the lowest rates of recidivism. U.S. Sentencing Commission, Measuring Recidivism: The Criminal History and Computation of the Federal Sentencing Guidelines 13 (May 2004), available at http://www.ussc.gov/research. htm (Commission Report) (drug trafficking offenders within the group of offenders that “are overall the least likely to recidi-vate”); U.S. Dept. of Justice, Bureau of Justice Statistics, Offenders Returning to Federal Prison, 1986-97 1, 3 (Sept.2000) (persons convicted of drug offenses were the least likely to return to prison, with lower recidivism rate than property and public-order offenses). The government does not dispute the accuracy of these studies, nor did the government come forward with any contrary evidence to suggest that nonviolent drug offenders present a high risk of recidivism.
The statute the court approves today is a revision, and significant extension, of the predecessor version of the 2000 DNA Act. Under the 2000 DNA Act, a limited number of crimes were categorized as a “qualifying ... offense,” and only supervised releasees convicted of those qualifying offenses were required to submit to DNA sampling as a condition of their release. See DNA Analysis Backlog Elimination Act, Pub.L. No. 106-546, § 3, 114 Stat. 2726, 2729-30 (2000) (hereinafter “2000 DNA Act”). The DNA obtained from those samples are placed within “CODIS,” the FBI’s Combined DNA Index System. CODIS is a database that acts as a clearinghouse for DNA information taken from state and federal DNA collection programs, as well as crime scenes. The offenses enumerated in the 2000 DNA Act were primarily violent crimes and crimes related to illegal sexual activity. Id.
The Justice for All Act in 2004, however, amended the DNA Act so that “any felony” now serves as a qualifying offense. Pub.L. No. 108-405, § 203(b), 118 Stat. 2260, 2270 (2004) (hereinafter “2004 DNA Act”). As before, that DNA is filed in the CODIS database. Notably, although the 2004 amendment brought the entire universe of non-violent federal felonies within the Act’s purview, the House Report that accompanied the amendment does not suggest that DNA evidence has any utility in solving non-violent crimes. See H.R. Rep. 108-711 (2004), reprinted in 2005 U.S.C.C.A.N. 2274. To the contrary, the clearest statement on this point is that, “When used to its full potential, DNA evidence will help solve and may even prevent some of the most serious violent crime.” 2005 U.S.C.C.A.N. at 2277 (emphasis added).
Although it is easy enough to conceive of the hypothetical risks to civil liberties invited by approving this kind of regime, here, there is no need to speculate. The most recent version of the DNA Act permits extraction of DNA from “individuals who are arrested, facing charges, or convicted [of qualifying felonies] or from non-United States persons who are detained under the authority of the United States.” 42 U.S.C. § 14135a(a)(l)(A) (2006).
II. Discussion
In our fractured opinion in United States v. Kincade, a plurality of the court reasoned that the 2000 DNA Act was properly analyzed under “a traditional assessment of reasonableness gauged by the totality of the circumstances.”
How analytically to approach the constitutionality was effectively answered by the Supreme Court in Samson v. California,
Samson re-stated the now familiar totality-of-the-circumstances test used to
A. Totality-of-the-Circumstances and Kincade
The most apposite precedents in this Circuit to pass on the constitutionality of the 2004 DNA Act are Samson and the plurality decision from Kincade. As noted, three years ago the far more limited 2000 DNA Act was upheld by a plurality in Kincade, relying on a totality-of-the-eir-cumstances analysis.
Although none are controlling, the majority places great weight on recent decisions from other circuits that have upheld
The decisions of the Eighth and Eleventh Circuits contain little to no analysis of the interests at stake when the government subjects all non-violent felony offenders to compulsory DNA sampling. In United States v. Kraklio,
In United States v. Conley, in order to justify the 2004 DNA Act under a special needs analysis, the Sixth Circuit discussed with approval government data that suggested that white-collar crime had recidivism rates “in certain groups,” close to recidivism rates for firearms and robbery offenses.
Only Banks v. United States,
I have two problems with this analysis. First, Banks places such little weight on a releasee’s privacy interest as to make it a meaningless consideration. Second, the argument that a “significant” government objective is sufficient even if the statute under consideration does not actually promote that objective is sophistry — and is shockingly wrong. Knights instructs that evaluating the reasonableness of a search for Fourth Amendment purposes should be grounded in the “degree to which it is needed for the promotion of legitimate governmental interests.”
The Tenth Circuit in Banks also cited statistical data collected from state prisons in 1994 indicating that “non-violent offenders have higher recidivism rates than the general population.” Id. at 1191 (citing U.S. Dept, of Justice, Bureau of Justice Statistics, Profile of Nonviolent Offenders Exiting State Prison (2004), http: //www. ojp.usdoj.gov/bjs/pub/pdfipnoesp.pdf).
Because of the substantial erosion of Fourth Amendment protection posed by the 2004 DNA Act, we should not uncritically adopt decisions from other Circuits where controlling law in this Circuit does not dictate the same outcome. Thus, with the limitations from Kincade and Samson as a guide, we should consider Kriesel’s privacy interests as affected by the 2004 DNA Act on the one hand, balanced against the interests advanced by the government on the other.
B. Kriesel’s Privacy Interests
It is true that conditional releasees like Kriesel have diminished privacy expectations. Samson,
In considering that privacy interest, I also cannot overlook that the search here is not limited to the initial extraction of a biological sample from Kriesel, and with it, his DNA. Rather, the warrantless “search” permitted by the 2004 DNA Act extends to repeated searches of his DNA whenever the government has some minimal investigative interest. Kincade,
C. Government’s Interests
In Kincade, the plurality pointed to three interests it deemed “monumental” in balancing the government’s interests under the 2000 DNA Act.
The interest in ensuring compliance with terms of release, while obviously legitimate, must be viewed in light of the Court’s decision in Samson. As Samson explained, warrantless and suspicionless searches of parolees are sometimes justified under a totality-of-the-circumstances analysis provided that they are based on a legitimate supervisory need.
The majority disingenuously refuses to confront the fact that the 2004 DNA Act clearly permits the retention of Kriesel’s DNA once his term of supervised release is over. Apparently, it defines “the precise circumstances before us” as the rights of a parolee while on parole, with no consideration of the fact that his DNA will be retained in CODIS and be searchable for the rest of Kriesel’s lifetime. Maj. Op. at 949; see also Kincade,
Next, the deterrent effect advanced by the government is seriously undermined here because Kriesel has offered unrebut-ted data demonstrating that rates of recidivism are among the lowest for non-violent drug offenders. Measuring Recidivism: The Criminal History and Computation of the Federal Sentencing Guidelines at 13; Offenders Returning to Federal Prison, 1986-97 at 1 and 3. The majority excuses the government’s failure to rebut Kriesel’s evidence of low recidivism rates by asserting that he “is already a recidivist, as he violated the terms of his release when he tested positive for controlled substances.” Op. at 949-50. Ironically, the authorities had all the tools they needed to detect the recidivism without resort to DNA, nor was his conduct a crime except as it violated parole.
The majority reasons that a statute permitting suspicionless extraction of DNA from all persons within a population that has low rates of recidivism is permissible because there is a basis to conclude that Kriesel himself will re-offend. Thus, the majority allows the government to escape its failure to justify a program that requires participants to submit their DNA without any suspicion, because it has suspicion in this particular case.
Finally, the majority reasons that creating a DNA profile of non-violent felons like Kriesel will “contribute] to the solution of past crimes.” Maj. Op. at 950. I agree in principle that a DNA program with some demonstrable effect on solving crime within the population profiled may satisfy the Fourth Amendment. Rise v. Oregon,
Because the government interests articulated in Kincade and re-constituted here are not sufficiently weighty to overcome Kriesel’s privacy interests, I would hold that the warrantless searches permitted by the 2004 DNA Act are unreasonable, and that the Act fails to survive review under a totality-of-the-circumstances test.
III. Conclusion
When the 2000 DNA Act narrowly survived Fourth Amendment review in this court just three years ago, we were told to take solace in the “limited nature of[the] holding.” Kincade,
I do not question the efficacy of the government’s methods. An ever-expanding and unerasable electronic index of DNA profiles, monitored by the government’s unblinking digital eye, may no doubt prove to be an effective law enforcement tool. But our compact with the government requires constitutional means, not just effective ends. Once expediency infects the Fourth Amendment analysis, as it has with the majority’s blessing of the “significant” crime-solving purposes of DNA profiling, there is no limiting principle beyond what the government says it needs. The line should be drawn far short of where the majority puts it. I dissent.
. I concur in Part III of the majority's opinion and analysis of Kriesel’s APA challenge. For reasons explained below, however, that portion of the opinion merely holds that the Attorney General did not violate the APA’s procedural requirements in promulgating regulations to implement an unconstitutional statute.
. There is a parallel provision of the act that allows for an arrestee's DNA to be expunged only if the Attorney General receives "a final court order establishing that [] charge[s] [have] been dismissed or [have] resulted in an acquittal or that no charge was filed within the applicable time period." 42 U.S.C. § 14132(d)(1)(A)(ii).
. The Supreme Court has considered and rejected the contention that the government’s ever-present generalized interest in criminal law enforcement qualifies as a “special need.” Indianapolis v. Edmond,
. The appellant in Conley had been convicted of bank fraud, committed while she was on probation for a similar fraud offense.
. The statistics relied on in Banks are undermined by the government data regarding federal offenders placed in the record by Kriesel here, particularly drug offenders.
. The study of state offenders relied on by the court in Banks does not indicate whether the "violent offenses” are.of a type where DNA evidence could be of assistance. Profile of Nonviolent Offenders Exiting State Prison at 4. The other two categories, "property offenses” and "drug offenses,” are not defined or characterized by the study as violent offenses.
. The penalties for unauthorized disclosure of DNA held in CODIS do nothing to address this, as disclosure of Kriesel’s DNA for general criminal investigation is a “permissive use[]” under the Act. See 42 U.S.C. § 14135e(b); 42 U.S.C. § 14132(b)(3)(A) (disclosure permitted “to criminal justice agencies for law enforcement identification purposes”).
. Moreover, as noted Kriesel’s prior drug lapses were detected and addressed without the need for his DNA profile — which the government does not yet have. There is nothing in the record to suggest that Kriesel would have been deterred from those lapses if the government had possessed his DNA.
