Lead Opinion
This case presents a question of first impression in this circuit: is it a violation
However, we also impose an important limitation on our holding. Because the appellant is currently on supervised release and will remain so until 2009, we do not resolve the question of whether it is also constitutional to retain the DNA profile in the database after he is no longer on supervised release. Mindful of the well-established principle that constitutional cases should be decided as narrowly as possible and the rapid pace of technological development in the area of DNA analysis, we reserve judgment on that issue for another day.
I.
A. Statutory Background
Pursuant to the DNA Analysis Backlog Elimination Act of 2000 (“DNA Act”), Pub.L. No. 106-546 (codified as amended in scattered sections of 10 U.S.C., 18 U.S.C., and 42 U.S.C.), individuals who have been convicted of a “qualifying federal offense” and who are incarcerated or on parole, probation, or supervised release must provide federal law enforcement authorities with “a tissue, fluid, or other bodily sample” for purposes of extracting their DNA. 42 U.S.C. §§ 14135a(a)(l)-(2), (c)(1).
The DNA Act specifies that the government may “use or authorize the use of such means as are reasonably necessary” to collect a DNA sample. Id. at § 14135a(a)(4)(A). Before the district court a United States Probation Officer explained that in Weikert’s case a blood sample would be obtained by means of a painless fingerprick. Refusal to comply with the DNA collection procedure is a misdemeanor punishable by up to one year’s imprisonment and a fine of $100,000. 42 U.S.C. § 14135a(a)(5); 18 U.S.C. §§ 3571, 3581. Moreover, courts are required to order compliance with the DNA Act “as an explicit condition of supervised release.” 18 U.S.C. § 3583(d). Thus, failure to provide a DNA sample in compliance with the DNA Act both violates the obligation not to commit any additional offenses while on supervised release and violates an express condition of the release. See 18 U.S.C. § 3583(d).
The FBI uses the DNA sample to create a genetic profile of the individual based on information contained at thirteen specified locations in the person’s DNA. See Nat’l Comm’n on the Future of DNA Evidence, Nat’l Inst. of Justice, U.S. Dep’t of Justice, The Future of Forensic DNA Testing 19 (2000), available at http://www.ncjrs.gov/ pdjfilesllnijll83697.pdf (hereinafter “The Future of Forensic DNA Testing”). Profiling is performed using only so-called “junk DNA” — DNA that differs from one individual to the next and thus can be used for purposes of identification but which was “purposely selected because [it is] not associated with any known physical or medical characteristics” and “do[es] not
The profile is then entered into the FBI’s Combined DNA Index System (“CODIS”), a massive, centrally managed database including DNA profiles from federal, state, and territorial DNA collection programs, as well as profiles drawn from crime-scene evidence, unidentified remains, and genetic samples voluntarily provided by relatives of missing persons. As of April 2007, CODIS contained more than four million profiles of individual offenders and over 175,000 profiles derived from crime scene evidence and other sources. See Federal Bureau of Investigation, National DNA Index System Statistics, available at http://www.fbi.gov/hq/lab/ codis/clickmap.htm (last visited July 11, 2007).
CODIS is a valuable law enforcement tool. It may be used to match evidence found at one crime scene with evidence found at another crime scene, revealing a common perpetrator. It also may be used to match evidence from the scene of a crime to a particular offender’s profile. These attributes allow the FBI to investigate crimes more efficiently and more accurately, both by identifying offenders and by eliminating innocent suspects. The FBI credits CODIS with aiding more than 49,466 investigations nationally. See Federal Bureau of Investigations, Investigations Aided, http:llwww.fbi.gov/hqllab/ codis/aidedmap.htm (hereinafter “Investigations Aided ”) (last visited July 11, 2007).
The DNA Act contains an array of statutory safeguards to foreclose the possibility of abuse. CODIS information generally may be used only “[by] criminal justice agencies for law enforcement identification purposes[,] ... in judicial proceedings, if otherwise admissible pursuant to applicable statutes or rules[, and] for criminal defense purposes, [by] a defendant.” 42 U.S.C. § 14132(b)(3). The DNA Act also provides for a fine of up to $250,000 or a year in prison for the unauthorized disclosure or use of a DNA sample or result. Id. § 14135e(c).
B. Factual and Procedural Background
In 1990, appellant Leo Weikert pled guilty in the Western District of Texas to one count of conspiracy to possess cocaine with the intent to distribute and was sentenced to a term of 120 months. He escaped from prison in 1994, and was apprehended in Massachusetts in 1999. He then pled guilty in the District of Massachusetts to one count of escape from custody, and, in January 2000, was sentenced to eight months of imprisonment, to be served consecutively with his previous term. He also was sentenced to twenty-four months of
Weikert was released from prison on December 10, 2004. The Probation Office notified him of its intent to take a blood sample in order to collect his DNA, and Weikert subsequently filed a motion for a preliminary injunction and requested a hearing. The government opposed the motion and filed a request to revoke Wei-kert’s supervised release.
The district court granted the preliminary injunction. The court explained that, in analyzing the constitutionality of the DNA Act, the other circuits have split over whether to apply the general Fourth Amendment totality of the circumstances test or the special needs exception. It then held that the special needs exception was the appropriate test because “the special needs doctrine has evolved to be the proper form of analysis for searches without individualized suspicion.” It explained that the special needs test first asks whether the statute serves a special need distinct from traditional law enforcement, and, if so, whether the government’s need outweighs the intrusion on the individual’s privacy interest. Applying that analysis, the court concluded that no special need existed because “[t]he government’s immediate purpose in collecting DNA samples is to solve crimes,” which was not beyond the normal need for law enforcement.
Acknowledging that its conclusion that no special need existed was sufficient to find the search unreasonable under the Fourth Amendment, the court nevertheless continued with its analysis. Even if such a special need existed, the court held, the individual’s privacy interests would outweigh the government’s interest in obtaining the information. The court found the government’s interest in creating and using the database to solve crimes “substantial, given the success the government has had in using DNA samples to assist in investigations.” However, this substantial interest was outweighed by “the intrusion into an individual’s personal identity through the analysis of the blood ... not to mention the danger of a later publicizing of the information gleaned from the sample.”
Finally, the district court found that the other preliminary injunction factors — the possibility of irreparable injury, the balance of harms, and the public interest — ■ weighed in Weikert’s favor. Thus, the court granted the injunction. The government now appeals from that decision.
II.
Under 28 U.S.C. § 1292(a)(1), we have jurisdiction to hear an interlocutory appeal of an order granting a preliminary injunction. In considering a motion for a preliminary injunction, a district court weighs four factors: (1) the plaintiffs likelihood of success on the merits; (2) the potential for irreparable harm in the absence of an injunction; (3) whether issuing an injunction will burden the defendants less than denying an injunction would burden the plaintiffs; and (4) the effect, if any, on the public interest. Bl(a)ck Tea Soc’y v. City of Boston,
A. Individualized Suspicion and Conditional Release
The Fourth Amendment guarantees that the people shall be “secure in their persons, houses, papers, and effects, against unreasonable searches and seizures.” U.S. Const, amend. IV. Unquestionably, the extraction of blood for DNA profiling constitutes a search within the meaning of the Fourth Amendment. See Skinner v. Ry. Labor Executives’ Ass’n,
The fact that a search occurred, however, is not dispositive of the Fourth Amendment inquiry. Rather, “[t]he touchstone of our analysis under the Fourth Amendment is always ‘the reasonableness in all the circumstances of the particular governmental invasion of a citizen’s personal security.’ ” Pennsylvania v. Mimms,
The so-called “special needs” doctrine has been used to analyze searches in a variety of contexts where the government has neither obtained a warrant nor established individualized suspicion. See, e.g., Illinois v. Lidster,
The Court previously has applied the “special needs” doctrine in evaluating the constitutionality of a law targeted at individuals on conditional release.
Subsequently, however, in United States v. Knights,
Most recently, in Samson v. California, — U.S. -,
B. Application to the DNA Act
The other circuits have split in the analysis they apply to the federal DNA Act or its state law analogs. A majority — the Third, Fourth, Fifth, Eighth, Ninth, Eleventh, and D.C. Circuits — use the totality of the circumstances analysis described in Knights and Samson. See United States v. Kraklio,
Much of this authority preceded the Supreme Court’s decision in Samson, which now offers additional guidance. Pri- or to Samson, the Court had never held that the totality of the circumstances was the appropriate test to apply in a suspi-cionless search of a conditional releasee. Thus, several courts had concluded that a suspicionless search could not be justified absent a special need (or some other exception). See, e.g., Nicholas v. Goord,
[Although this Court has only sanctioned suspicionless searches in limited circumstances, namely programmatic7 and special needs searches, we have never held that these are the only limited circumstances in which searches absent individualized suspicion could be “reasonable” under the Fourth Amendment. In light of California’s earnest concerns respecting recidivism, public safety, and reintegration of parolees into productive society, and because the object of the Fourth Amendment is reasonableness, our decision today is far from remarkable.
Id. (footnote added). Samson thus indicates that a search of an individual on conditional release is properly subject to the totality of the circumstances analysis rather than the special needs analysis, notwithstanding the lack of individualized suspicion.
The Court’s application, in Samson, of the totality of the circumstances analysis
Despite Samson’s focus on reasonableness and the totality of the circumstances, two circuits subsequently have applied the special needs analysis to the DNA Act. In Hook, the Seventh Circuit made no reference to Samson and followed, without discussion, its prior decision in Green v. Berge,
Notwithstanding Amerson’s holding, we conclude that there is no rationale for differentiating supervised release from other conditional release statuses for pur
C. Balancing of Interests
Having determined that we apply the general Fourth Amendment totality of the circumstances analysis to Weikert’s challenge to the DNA Act, we now weigh his expectation of privacy against the government’s interests in conducting the search.
1. Privacy Interests
As our discussion thus far has shown, individuals on conditional release have a substantially diminished expectation of privacy. See, e.g., Knights,
Weikert contends that his status as a supervised releasee distinguishes him from the parolee in Samson, affording him a greater degree of privacy. He claims that “[Revocation of parole or probation may cause reinstatement of the remainder of a sentence” while “[Revocation of supervised release ... cannot reinstate the sentence as it is already completed and punishment is statutorily capped at five years for even the most heinous violators.” He adds that “[t]his codifying of limited revocation punishments demonstrates a far greater expectation of privacy ... for supervised re-leasees like Weikert.”
In addition to Weikert’s status as a supervised releasee, we must also consider the nature of the search in evaluating his privacy interests. The Court has held that “the intrusion occasioned by a blood test is not significant, since such ‘tests are a commonplace in these days of periodic physical examinations and experience with them teaches that the quantity of blood extracted is minimal, and that for most people the procedure involves virtually no risk, trauma, or pain.’” Skinner,
Importantly, Weikert’s privacy is implicated not only by the blood draw, but also by the creation of his DNA profile and the entry of the profile into CODIS. Weikert insists that this additional step raises unique privacy considerations. He explains that, unlike fingerprints, which yield only information about one’s identity, DNA “could offer up information about his daughter, his parents, his other family members.... There could be information about diseases, environmental predispositions, or recessive traits — all private health information that ought not to be forcibly taken and maintained by the government.” Weikert’s argument essentially reduces to two possibilities. First, the government might disregard its current stated procedure of using only the specified section of junk DNA to create an identifying profile, and might instead examine other sections of his DNA to extract personal information. Second, scientific advances might make it possible to deduce information be
With respect to the first scenario, we recognize the risk that such an abuse may occur. However, such a possibility can be accorded only limited weight in a balancing analysis that focuses on present circumstances. Moreover, the DNA Act offers a substantial deterrent to such hypothetical abuse by imposing a criminal penalty for misuse of DNA samples. It states that “[a] person who knowingly discloses a sample or result ... in any manner to any person not authorized to receive it, or obtains or uses, without authorization, such sample or result” is subject to up to a $250,000 fine or one year in prison. 42 U.S.C. § 14135e(c). Hence, the potential for unauthorized access to personal information, in violation of the explicit terms of the DNA Act, does not significantly increase Weikert’s privacy interest in the present case.
The second scenario is not unforeseeable. Although the DNA collection as currently implemented involves only junk DNA that is not associated with any known physical or mental characteristics, “new discoveries are being made by the day that challenge the core assumption underlying junk DNA’s name — regions of DNA previously thought to be ‘junk DNA’ may be genic after all.” Kincade,
2. Government Interests
In response to Weikert’s assertions of privacy, the government advances several interests served by collecting Weikert’s DNA and entering his profile into CODIS. First, it cites the need to identify, monitor, and rehabilitate individuals on supervised release. The Court has “repeatedly acknowledged” the importance of government “interests in reducing recidivism and thereby promoting reintegration and positive citizenship among probationers and parolees,” and, by extension, supervised releasees. Samson,
The government also explains that the inclusion of DNA profiles in the database enhances its ability to solve crimes efficiently and accurately. As other circuits have noted:
“The individuality of the DNA provides a dramatic new tool for the law enforcement effort to match suspects and criminal conduct. Even a suspect with altered physical features cannot escape the match that his DNA might make with a sample contained in a DNA bank, or left at the scene of a crime.... The governmental justification for this form of identification, therefore, relies on no argument different in kind from that traditionally advanced for taking fingerprints and photographs, but with additional force because of the potentially greater precision of DNA sampling and matching methods.”
Amerson,
Finally, we note that the DNA Act includes no discretionary component. Courts have acknowledged that the presence of such discretion affects the balancing of interests because it risks “dignitary harms that arouse strong resentment in parolees and undermine their ability to reintegrate into productive society.” Samson,
3. Balancing of Interests
After careful consideration, we conclude that the government’s important interests in monitoring and rehabilitating supervised releasees, solving crimes, and exonerating innocent individuals outweigh Weikert’s privacy interests, given his status as a supervised releasee, the relatively minimal inconvenience occasioned by a blood draw, and the coding of genetic information that, by statute, may be used only for purposes of identification. We emphasize that other factors, such as demonstrated misuse of the DNA samples, a change in the government’s collection procedures to include non-junk DNA, or the discovery of new uses for “junk DNA,” would require a reevaluation of the reasonableness balance. See Amerson
D. Limitations
We emphasize another important limitation on our holding. This case presents a challenge to the practice of collecting and analyzing the DNA of an individual currently on supervised release. Thus, we express no opinion on the constitutionality of the retention and searching by the government of the DNA profiles of individuals who have completed their terms of conditional release, which is its standard practice.
On this point, we find persuasive Judge Gould’s concurrence in the judgment in the Ninth Circuit’s decision in Kincade, which was necessary to form a majority to uphold the constitutionality of the DNA Act. Judge Gould emphasized that the majority opinion expressed no view on the question “whether DNA samples, though lawfully obtained from a felon on supervised release, may properly be retained by the government after the felon has finished his or her term and has paid his or her debt to society.”
Other authorities also have suggested that the balancing of the relevant interests would change after an individual completes the term of conditional release. In Green v. Berge,
Similarly, in Kincade, the dissenting judges indicated their agreement with Judge Gould’s point that the privacy interests at stake are different once a conditional releasee has completed his term. See Kincade,
This authority alone suggests the wisdom of withholding judgment on whether retaining a former conditional releasee’s DNA profile in CODIS passes constitutional muster. The distinction in status between a current and a former offender clearly translates to a change in the privacy interests at stake. A former conditional releasee’s increased expectation of privacy warrants a separate balancing of that privacy interest against the government’s interest in retaining his profile in CODIS.
There are other considerations as well that support this separate balancing. The ongoing evolution in our understanding of DNA warrants particular caution in determining what is constitutionally permissible. DNA profiles possess unique properties that distinguish them from other records. The samples from which those profiles are created have the potential to reveal information about an individual’s health, propensity for certain diseases, and, perhaps, sexual orientation and propensity for certain conduct. Kincade,
Finally, we note that the group of offenders whose profiles are entered into CODIS — all felons, plus individuals who have committed a variety of other crimes — -is heterogenous. The justification for retaining the DNA of one type of offender beyond the term of conditional release might be more powerful than the justification for retaining the DNA of a different type of offender, and we do not wish to make a blanket determination on the undeveloped record now before us.
We acknowledge that fingerprints and other personal records “are routinely maintained in law enforcement files once taken.” Kincade,
Our decision to limit our holding accords with the general practice of deciding constitutional cases narrowly. See United States v. Nat’l Treasury Employees Union,
III.
After careful consideration, we conclude that the collection and analysis of Wei-kert’s DNA under the DNA Act does not violate the Fourth Amendment. Consequently, Weikert is unlikely to succeed on the merits of his claim. This merits issue is by far the most important consideration in deciding whether a preliminary injunction was improvidently granted. See New Comm Wireless Servs., Inc. v. SprintCom, Inc.,
So ordered.
. Under 42 U.S.C. § 14135a(d), the term "qualifying federal offense” includes any felony, any offense under 18 U.S.C. § 109A, any "crime of violence” as defined in 18 U.S.C. § 16, and any attempt or conspiracy to commit such an offense.
. A report prepared by the National Institute of Justice explains that ninety-seven percent of DNA "has no known function” and notes, parenthetically, that "[o]ne reason for [the choice to perform DNA analysis on such junk DNA] has been to protect individual privacy.” The Future of Forensic DNA Testing 12.
. Weikert will remain on supervised release until 2009 because he was sentenced to five years of supervised release for his previous conviction in Texas and is serving the two terms of supervised release concurrently.
. Probation, supervised release, and parole are all different forms of conditional release from prison. Probation is an alternative sanction to imprisonment in which a court permits a convicted offender to serve his or her sentence in the community subject to certain conditions and supervision by a probation officer. 18 U.S.C. §§ 3561, 3563. Supervised release, by contrast, is a period of community supervision imposed by the court to be completed after release from a jail or prison sentence, 18 U.S.C. § 3583(a); it may be subject to the same conditions as probation, see id. § 3583(d), and also involves supervision by a probation officer, see id. § 3583(f). Parole is similar to supervised release in that it consists of a period of community supervision to follow a prison term; however, after the Sentencing Reform Act of 1984, Pub.L. No. 98-473 (codified as amended at 18 U.S.C. §§ 3551-3742), parole is no longer a valid status for new federal offenders. See, e.g., Johnson v. United States,
. The circuits also disagree over which test is more rigorous. Compare Sczubelek,
. The Supreme Court has not provided a precise definition of a "programmatic” search. However, it has listed as examples of such searches “checkpoints to combat drunk driving or drug trafficking.” Brigham City v. Stuart, -U.S. -,
. We understand the dissent's desire to read Samson as narrowly as possible, and thereby preserve the special needs analysis for a case such as this. If that could be done, the regime established by the DNA Act, with its law enforcement objectives, probably could not meet the special needs standard. Respectfully, however, we believe that Samson can only be read to eliminate the special needs analysis in a case involving the suspicionless search of a suspect on supervised release. The fact that a central purpose of the DNA Act is to solve crimes does not distinguish it from the program at issue in Samson — as noted, the search in that case was a classic law enforcement search designed to uncover evidence of weapons or contraband. The fact that the program at issue in Samson is in part designed to "reintegrat[e][] parolees into productive society,” Samson,
. In Samson, the Court suggested a distinction between parole and probation, noting that "parolees have fewer expectations of privacy than probationers,”
. The government has stated repeatedly that it uses only junk DNA in creating individual DNA profiles. However, we note that the exclusive use of junk DNA is mandated by neither the DNA Act itself nor by regulations the Attorney General is authorized to implement under the Act. See 42 U.S.C. § 14135a(e)(l). Indeed, the DNA Act includes a broad authorization, id. § 14135a(a)(l)(A) & (B), to perform “analysis of the deoxyribonucleic acid (DNA) identification information in a bodily sample," id. § 14135a(c)(2). None of our sister circuits has noted this omission. For purposes of this appeal, we take the government at its word, but emphasize that evidence that the DNA analysis procedure has been changed to include non-junk DNA — either officially or unofficially — would require a reconsideration of our Fourth Amendment analysis.
. As noted, qualifying federal offenses include all felonies, as well as various other offenses, and conspiracy or attempt to commit those offenses. See supra note 1.
. We respect the dissent's concerns about the long term implications of our decision here. That perspective is important. Every doctrine can be applied to future cases in ways that may or may not be desirable. At the same time, a concern for potential future applications cannot justify a result at odds with the circumstances of the case before us. Nevertheless, mindful of the potential implications of our decision, we have chosen to craft a narrow decision that recognizes the result required in this case while preserving the possibility of different outcomes in future cases.
. We recognize that no circuit has held that the DNA record must be expunged. The D.C.
Dissenting Opinion
dissenting.
I write briefly to dissent from the majority’s able opinion. I believe there are important distinctions between Samson v. California, — U.S.-,
The majority is correct that Samson moved one step beyond United States v. Knights,
In justifying its use of the totality of the circumstances test in a suspicionless search case, the Court wrote:
Therefore, although this Court has only sanctioned suspicionless searches in limited circumstances, namely programmatic and special needs searches, we have never held that these are the only limited circumstances in which searches absent individualized suspicion could be “reasonable” under the Fourth Amendment. In light of California’s earnest concerns respecting recidivism, public safety, and reintegration of parolees into productive society, and because the object of the Fourth Amendment is reasonableness, our decision today is far from remarkable.
Samson,
In my view, the DNA extraction and cataloging program mandated by the DNA Act does not fit within this third limited category. As the majority makes clear, the plain language of the Act and its legislative history show that the purpose of the DNA Act is future crime-solving. Nothing more. It is not part of an earnest effort on the part of the state to monitor and reintegrate conditional releasees into society.
Because the Act does not satisfy the limited circumstance that validated the search in Samson, in order to survive Fourth Amendment review as a suspicion-less search it must constitute either a programmatic search (which no party has contended) or a special needs search.
Having made this narrow legal point, I am also compelled to raise my grave concern that the majority’s totality of the circumstances analysis represents a further unfortunate step in the continuing erosion of the Fourth Amendment’s vital protections. By assigning so little weight to the privacy invasion posed by placement of one’s unique DNA in a national database, and such overwhelming weight to the state’s interest in future crime solving, the majority unfortunately lays the groundwork for the expansion of such analysis beyond the category of prisoners, parolees, probationers, and those on conditional release, to include ordinary citizens who, because of their employment, activity, or position in society, also could be said to have a reduced expectation of privacy.
I recognize that the majority leaves for another day the question of the right to retain the DNA profile in the CODIS database following the conclusion of appellee’s supervised release period. However, other circuits have already decided this question and found such a limitation unnecessary. See, e.g., United States v. Sczubelek,
It was said by Edmund Burke, “The true danger is when liberty is nibbled away, for expedients, and by parts.” I cannot, in good conscience, sign on to a
Therefore, I respectfully dissent.
. As I read Samson, the Supreme Court has left open the possibility that other types of suspicionless searches might also survive Fourth Amendment review under the totality of the circumstances test. I see no reason to conclude that the DNA Act comprises a fourth exception to the general requirement of individualized suspicion. In addition, in order to protect the integrity of the Fourth Amendment, I would leave it to the Supreme Court to identify additional exceptions to the general rule.
