*1 Before: DAUGHTREY and McKEAGUE, Circuit Judges; GWIN, District Judge. [*] _________________
COUNSEL ARGUED: Gina R. Russo, VORYS, SATER, SEYMOUR & PEASE, Columbus, Ohio, for Appellant. Richard Thomas Cholar, Jr., OHIO ATTORNEY GENERAL OFFICE, Columbus, Ohio, for Appellees. ON BRIEF: Gina R. Russo, William J. Pohlman, Thomas H. Fusonie, Elizabeth Hanning Smith, VORYS, SATER, SEYMOUR & PEASE, Columbus, Ohio, David A. Singleton, OHIO JUSTICE & POLICY CENTER, Cincinnati, Ohio, for Appellant. Richard Thomas Cholar, Jr., OHIO ATTORNEY GENERAL OFFICE, Columbus, Ohio, for Appellees.
_________________
OPINION _________________ McKEAGUE, Circuit Judge. Plaintiff-appellant, a prisoner in the custody of the Ohio Department of Rehabilitation and Correction, challenges the constitutionality of Ohio’s DNA Act, which requires the collection of DNA specimens from convicted felons. Below, plaintiff sought declaratory and injunctive relief, contending that the Act is violative of his Fourth Amendment, Fifth Amendment, due process and equal protection rights. The district court awarded summary judgment to the defendants on all claims. Finding the district court’s opinion to be well-reasoned and consistent with the growing body of case law on such challenges to DNA statutes, we affirm. * The Honorable James S. Gwin, United States District Judge for the Northern District of Ohio, sitting by designation.
I. FACTUAL AND PROCEDURAL BACKGROUND
Plaintiff-appellant Antoine D. Wilson is an African-American from Columbus, Ohio. After being found guilty of felonious assault in June 1998, he was sentenced to seven years’ imprisonment, to run concurrently with a three-year term imposed on a firearm specification. Section 2901.07 of the Ohio Revised Code (“DNA statute” or “the Act”), in its present form, requires that a person convicted of a felony who is sentenced to a prison term “shall submit to a DNA [deoxyribonucleic acid] specimen collection procedure.” In October 2003, Wilson submitted, over his objection, to the collection of a DNA specimen by allowing officials at the Southern Ohio Correctional Facility to swab buccal cells from the inside of his cheek. Pursuant to the Act, the resultant sample was forwarded to the Ohio Bureau of Criminal Identification and Investigation (“BCI&I”) for analysis and for entry of the resultant DNA profile into the state and national DNA index systems. The DNA profile remains indefinitely in the index systems and is available for use by law enforcement agencies in seeking matches with DNA evidence obtained in pending and future criminal investigations. In addition, the DNA samples collected by the Ohio Department of Rehabilitation and Correction are also stored indefinitely.
Wilson commenced this action in September 2004 by filing a five-count complaint, naming as defendants the Director of the Ohio Department of Rehabilitation and Correction, the Superintendent of the BCI&I, the Ohio Attorney General, and the wardens of correctional facilities where Wilson has been incarcerated. Wilson proceeds under 42 U.S.C. § 1983, alleging that the collection and maintenance of his DNA sample and the recording of his DNA profile violate his constitutional rights. By consent of the parties, the case was referred to Magistrate Judge Norah McCann King for all purposes and, ultimately, for entry of judgment on the parties’ cross-motions for summary judgment.
The district court granted defendants’ motion for summary judgment in March 2007. On Count I, the court ruled that the Fourth Amendment protection against unreasonable searches and seizures is not violated because a prisoner’s diminished privacy rights are outweighed by the state’s interest in preventing, deterring and solving crimes. On Count II, the court ruled that substantive due process rights are not violated because the swabbing or extraction of saliva from a prisoner’s mouth is such a minimal intrusion as to not implicate any fundamental right to bodily integrity. On Count III, the court held that procedural due process rights are not violated because the DNA sample collection process is attended by adequate procedural safeguards to minimize the risk of erroneous deprivation. On Count IV, the court ruled that the Fifth Amendment protection against compulsory self-incrimination is not violated because DNA samples are not testimonial in nature. Finally, on Count V, the court held that any disparate adverse impact on African-Americans, who are disproportionately over-represented in Ohio prison populations, is not actionable because there is no evidence of intentional discrimination. On appeal, Wilson challenges all of these holdings. 1
II. ANALYSIS
The parties agree that this case poses no questions of fact and that the district court’s legal
rulings in denying Wilson’s motion for summary judgment and granting defendants’ motion for
summary judgment are subject to
de novo
review.
See Cutter v. Wilkinson
,
During the pendency of this appeal, on June 17, 2007, Wilson was released from prison, subject to a three-year period of parole. As explained below, this change in status has no material impact on the merits of his claims.
A. Fourth Amendment Unreasonable Search and Seizure During the last several years, the federal appellate courts have addressed a plethora of claims by prisoners, parolees, supervised releasees and probationers, challenging the constitutionality of federal and state laws that require them to submit to collection of DNA specimens for purposes of DNA profiling. Most of these challenges have been brought as claims for violations of the Fourth Amendment protection against unreasonable search and seizure. Such Fourth Amendment challenges have been uniformly rejected by the courts, as the government’s compelling interests in crime control have consistently been deemed to outweigh the plaintiffs’ diminished privacy interests.
Most recently, the Ninth Circuit rejected such a challenge to the federal DNA Analysis
Backlog Elimination Act, as amended by the Justice for All Act.
United States v. Kriesel
, 508 F.3d
941 (9th Cir. 2007). The
Kriesel
court noted that every circuit to consider a Fourth Amendment
challenge to the federal DNA Act has upheld the Act. . at 946 (citing
United States v. Weikert
,
Moreover, Fourth Amendment challenges to parallel state DNA-indexing statutes have met
with similar results.
See e.g.
,
Padgett v. Donald
,
Nonetheless, appellant Wilson maintains the district court erred in awarding judgment to the state defendants on his Count I Fourth Amendment claim.
1. “Totality of the Circumstances” Test or “Special Needs” Test?
Although the federal courts have reached uniform results, they have been divided regarding
the most appropriate test to apply in scrutinizing a Fourth Amendment challenge to a DNA-indexing
statute. Under the “totality of the circumstances” test, determining whether a search is reasonable
requires “assessing, on the one hand, the degree to which it intrudes upon an individual’s privacy
and, on the other, the degree to which it is needed for the promotion of legitimate governmental
interests.”
Samson v. California
,
Under the “special needs” doctrine, the Supreme Court has recognized that a warrantless,
suspicionless search may be justified “when special needs, beyond the normal need for law
enforcement, make the warrant and probable-cause requirement impracticable.”
Griffin v.
Wisconsin
,
In the wake of the
Samson
ruling, in which the Supreme Court upheld a suspicionless search
of a parolee without bothering to identify any special need, courts have viewed
Samson
as
affirmatively signaling that the totality-of-the-circumstances test is the appropriate test for assessing
the reasonableness of suspicionless DNA collection requirements as applied to parolees and
supervised releasees.
Kriesel
,
Accordingly, we conclude—consistent with the conclusion reached by the Ninth Circuit in Kriesel , the First Circuit in Weikert , and the Tenth Circuit in Banks —that the Ohio DNA statute, as applied to Wilson, is properly evaluated under the totality-of-the-circumstances test. If, per Samson , the totality of the circumstances test affords sufficient assurance of the reasonableness of a suspicionless search of a parolee, who has less diminished privacy rights than a prisoner, then it clearly affords adequate protection to the rights of a prisoner. Wilson was a prisoner when corrections officials collected his DNA sample and when the district court evaluated the merits of his claim. Now, to the extent Wilson’s Fourth Amendment claim may be considered to be premised on his slightly greater privacy interests as a parolee (challenging not the collection of the DNA The district court, following Conley ’s lead, evaluated the Ohio DNA statute under both tests. *5 sample, but the state’s continued retention and potential abuse of both his DNA information and sample), Wilson’s claim still falls squarely within the teaching of Samson .
2. Reasonableness Balancing
The totality-of-the-circumstances test requires the court to determine the reasonableness of
the subject search based on a balancing of the state’s interests against Wilson’s privacy interests.
In
Conley
, the Sixth Circuit undertook this interest-balancing exercise in connection with a Fourth
Amendment challenge to the federal DNA Act by a supervised releasee. The court characterized
the government’s interests in establishing a nationwide DNA database as “compelling.”
Conley
, 453
F.3d at 680 (quoting with approval
United States v. Sczubelek
,
Wilson attempts to distinguish Conley by arguing that Ohio’s interests in enacting the Ohio DNA statute should be judged by its legislative history, not by the purposes served by the federal DNA Act. He argues the legislative history demonstrates that the collection of DNA samples from convicted felons in Ohio was authorized to promote the administration of criminal justice and aid in deterring, preventing and solving crimes. Obviously, these purposes are substantially similar to those identified in Conley . Wilson does not argue that these interests are not compelling, but maintains they are ordinary law enforcement objectives that do not qualify as “special needs.”
The argument is unavailing for two reasons. First, the governmental interests need not
qualify as “special needs” under the totality-of-the-circumstances test, which, as indicated above,
is properly applied in this case. Second, even courts that have applied the special-needs test have
found that the very purposes identified both in
Conley
and in the cited legislative history are not
“ordinary,” but “special” law enforcement concerns that
do
qualify as special needs.
See e.g.
,
Amerson
,
Further,
Conley
is not materially distinguishable on the basis of the extent of intrusion, as
the swabbing of saliva to obtain a DNA sample is even less invasive than the drawing of a blood
sample.
Amerson
,
Unable to distinguish
Conley
, Wilson argues that it is wrongly decided. Yet, his arguments
are the same arguments that have been consistently and conclusively rejected by the overwhelming
weight of authority. Hence, even if we were free to depart from the precedent established in
Conley
,
we have been presented no persuasive reason to do so. Because the Ohio DNA statute appears to
be materially indistinguishable from the federal DNA Act and other similar state statutes that have
been uniformly upheld by the federal courts against Fourth Amendment challenge, we find no error
in the district court’s judgment in favor of the state defendants on Wilson’s Count I claim.
Even if we were to apply the more stringent special-needs test, there is no reason to believe the ultimate result
would be different. It appears that every circuit that has applied the special-needs test has found the government’s
interest in DNA indexing to be a special need and has upheld the challenged statute.
See e.g.
,
Conley
,
B. Substantive Due Process
In Count II, plaintiff alleges that the involuntary collection and retention of his DNA
specimen and DNA information constitute a deprivation of property and liberty without due process.
The district court awarded judgment to the state defendants on this claim in part based on
Graham
v. Connor
, 490 U.S. 386, 395 (1989), concluding that, to the extent the claim is based on the
involuntary extraction of a DNA sample, plaintiff complains of an “unreasonable search and
seizure,” a wrong for which a “more explicit textual source of constitutional protection” is found in
the Fourth Amendment. Given the protection afforded by the Fourth Amendment, the court
correctly concluded, per
Graham
, that plaintiff could not also proceed with a claim under the “more
generalized notion of substantive due process.”
Graham
,
Yet, the analysis of the substantive due process claim does not stop here. Wilson’s
substantive due process claim is not based solely on the taking of his saliva, but also on the
indefinite retention of his DNA sample and DNA information, as well as the sharing of his DNA
profile through the state and national DNA-indexing systems. These actions, he alleges, constitute
a deprivation of his liberty interest in nondisclosure of private information and are separately
actionable as a substantive due process violation. Indeed, to the extent the claim is premised on the
retention and disclosure of personal DNA information, it does not implicate the Fourth Amendment,
see Johnson v. Quander
,
The district court also addressed this dimension of Wilson’s substantive due process claim,
but only perfunctorily. It relied on
Padgett v. Donald
,
Wilson insists that this privacy interest is a fundamental right, but acknowledges that the
Sixth Circuit has rejected the notion. Whereas some other circuits have recognized the existence
of a constitutional right of privacy in various types of confidential information,
see Denius v.
Dunlap
,
Wilson asks the court to expand the list of fundamental interests to include the confidentiality of his DNA profile, which he says contains a host of personal and medical information. He has failed to cite a single case, however, in which the disclosure of DNA profiles in DNA indexes has been held to abridge any right to privacy, much less a fundamental right entitled to the protection of substantive due process. Moreover, the state defendants maintain that the DNA profile disclosed in the Combined DNA Index System (“CODIS”) does not contain sensitive personal information, but is useful for human identity testing only. According to Dr. Julie A. Heinig, Assistant Laboratory Director of Forensic Services at the DNA Diagnostics Center in Fairfield, Ohio, no “personal information,” such as “race, criminal history or case-related information” is contained in CODIS.
On this record, it is clear that Wilson, a convicted felon, does not have a fundamental privacy interest in the information contained in his DNA profile that is protected by substantive due process. Where the state’s collection of the DNA specimen that produced the profile has been shown to be justified for Fourth Amendment purposes (considering (a) the compelling governmental interests in crime control, (b) the diminished privacy interest of a convicted felon, and (c) the minimal intrusion necessitated by collection of the specimen), the notion that principles of substantive due process would apply to frustrate the compelling governmental interests by prohibiting the disclosure of the DNA profile in CODIS is simply untenable.
Still, Wilson protests, contending that the state’s indefinite retention of his DNA sample,
which, given advancements in scientific technology, may be “mined” in the future for a host of
personal and medical information beyond that contained in his present DNA profile, cannot be
justified. Indeed, Dr. Heinig recognized that blood or buccal samples contain genetic information
that could conceivably be subject to misuse. She also observed, however, that the Act prescribes
strict penalties for misuse of the samples or unauthorized disclosure of such information. These
safeguards adequately ensure that any risk to Wilson’s legitimate privacy interests is minimized.
See Amerson
,
Further, Wilson’s concerns are purely speculative. The hypothetical possibility of some
future abuse does not substantiate a justiciable controversy.
See Banks
, 490 F.3d at 1191-92
(recognizing
potential
for abuse of DNA information despite statutory safeguards, but, in the
absence of evidence of abuse, refusing to adjudicate based on speculation);
Amerson
,
C. Procedural Due Process
In Count III, Wilson alleges that he was deprived of property and liberty without procedural
due process when his DNA specimen was collected and his DNA profile disclosed in CODIS
without a pre-deprivation hearing. The district court rejected the claim, observing that due process
is a flexible concept and concluding that, since Wilson had diminished privacy interests as a
prisoner, the degree of intrusion was minimal, and the risk of erroneous deprivation was slight, no
pre-deprivation hearing was required. In support, the district court observed that the Sixth Circuit
has already upheld the Ohio DNA statute against procedural due process challenge in an
unpublished opinion,
Williams v. Dep’t of Rehabilitation and Correction
,
D. Fifth Amendment Self-Incrimination
In Count IV of his complaint, Wilson alleges the state’s collection and retention of his DNA sample constitutes a violation of this Fifth Amendment privilege against self-incrimination. He maintains that DNA is testimonial because it could reveal personal information and therefore come within the ambit of the Fifth Amendment. The district court rejected the claim, citing numerous federal court decisions holding that DNA samples are not testimonial in nature. On appeal, Wilson has failed to identify a single contrary authority.
Most recently, the Ninth Circuit confirmed the unanimous view: “The extraction of DNA
doesn’t implicate the privilege against self-incrimination because DNA samples are ‘physical’
evidence, not ‘testimonial’ evidence.”
United States v. Zimmerman
, — F.3d —,
E. Disparate Impact
In Count V, Wilson alleges that the Ohio DNA statute has a disproportionate adverse impact on African-Americans because African-Americans make up a disproportionately large percentage of Ohio prison populations as compared to their representation in the general population. He argues that this disparate impact is actionable under 42 U.S.C. § 1983 in two ways: (1) as violative of Department of Justice regulations implementing § 602 of Title VI of the Civil Rights Act of 1964; and (2) as violative of Wilson’s constitutional right to equal protection of the laws.
1. DOJ Regulations Implementing Title VI
The district court correctly rejected the first theory, citing
Johnson v. City of Detroit
, 446
F.3d 614, 629 (6th Cir. 2006). In
Johnson
, the court held that a federal regulation alone cannot
create a right enforceable through § 1983. Wilson acknowledges that the Supreme Court has held
that Congress did not intend to create a private right of action to enforce § 602 of Title VI
(forbidding disparate impact practices).
Alexander v. Sandoval
,
argues, however, that the Court left open the possibility that disparate impact claims enforcing § 602 could be brought through § 1983, citing the dissenting opinion of Justice Stevens. Id . at 299- 301.
Yet, while the dissenting opinion appears to have left open the possibility, the Court’s
majority opinion did not: “[W]e have found no evidence anywhere in the text to suggest that
Congress intended to create a private right to enforce regulations promulgated under § 602.” . at
291. Subsequently, two circuits have interpreted
Sandoval
as meaning that regulations promulgated
pursuant to § 602 of Title VI cannot be enforced through a private cause of action under 42 U.S.C.
§ 1983.
Save Our Valley v. Sound Transit
,
2. Equal Protection
Wilson correctly argues that the district court’s ruling neglected to address his equal protection theory. This may be because Count V of his complaint does not expressly allege a violation of his equal protection rights; it relies exclusively on Title VI of the Civil Rights Act. Yet, even if we assumed Wilson properly stated a claim for denial of equal protection, it is apparent that the state defendants would have been entitled to summary judgment.
Wilson acknowledges that the Ohio DNA Act is facially neutral. He also acknowledges that to prevail on his claim that the Act nonetheless violates equal protection, he must prove the existence of a racially discriminatory purpose behind the statute. Washington v. Davis , 426 U.S. 229, 239-40 (1976). He admits that he lacks any direct evidence that the Ohio legislature enacted the statute with racially discriminatory intent, but asks the court to draw an inference of invidious racially discriminatory purpose based on the totality of the relevant facts. Yet, he has failed to identify any relevant facts supporting the urged inference other than disparate impact.
Washington
recognizes that evidence of disparate impact alone, though not irrelevant, is
insufficient to justify an inference of invidious discriminatory purpose.
Id
. at 242. “‘Discriminatory
purpose’ . . . implies more than intent as volition or intent as awareness of consequences. It implies
that the decisionmaker . . . selected . . . a particular course of action at least in part ‘because of,’ not
merely ‘in spite of,’ its adverse effects on an identifiable group.”
Hernandez v. New York
, 500 U.S.
352, 360 (1991) (quoting
Personnel Administrator of Mass. v. Feeney
,
Accordingly, Wilson having presented no evidence other than disparate impact to support his equal protection claim, summary judgment was properly awarded to the state defendants on this claim as well.
III. CONCLUSION
For the foregoing reasons, the district court’s judgment, awarding summary judgment in favor of the state defendants on all five of plaintiff Wilson’s challenges to the Ohio DNA statute, is AFFIRMED .
