unclassified // for official use only codis booking ... · unclassified // for official use only...

UNCLASSIFIED // FOR OFFICIAL USE ONLY


UNCLASSIFIED // FOR OFFICIAL USE ONLYUNCLASSIFIED // FOR OFFICIAL USE ONLY: The information in this document is the property of the Federal Bureau of Investigation and may be distributed to government (federal, state, tribal, or local) employees and contractors with a need to know. It contains information that may be exempt from public release under the Freedom of Information Act (5 U.S.C. 552). Dissemination to the public, the media, or other personnel who do not have a valid need to know without prior approval of an authorized FBI official is prohibited. Precautions must be taken to ensure this information is controlled, stored, handled, transmitted, distributed, and disposed of in a manner that precludes unauthorized access.


CODIS Booking Station and non-CODIS Crime Scene Rapid DNA

Thomas Callaghan, PhD.Chief Biometric Scientist FBI Laboratory

30th ISHI Palm Springs, CA

September 25, 2019



Rapid DNA Analysis (Law Enforcement Rapid DNA)

Rapid DNA describes the fully automated (hands free) process of developing an STR profile from a reference sample buccal swab.

The “swab in – profile out” process consists of automated extraction, amplification, separation, detection and allele calling without human intervention.

“NO RAPID DNA INSTRUMENTS HAVE BEEN APPROVED BY THE FBI FOR “RAPID DNA ANALYSIS” BOOKING STATION SUBMISSION OF SAMPLES TO

NDIS/CODIS”

2



Signed into Law on August 18, 2017, Public Law 115 - 50 amends Sections 12591 and 12592 of Title 34* of the United States Code relating to quality assurance standards and the national DNA identification index.Defines “Rapid DNA instruments”– “Instrumentation that carries out a fully automated process to derive a DNA analysis from a DNA

Sample”Fully Automated - (hands free) process of developing an STR profile. The “swab in – profile out”process consists of automated extraction, amplification, separation, detection and allele calling without human intervention.

Authorizes the FBI Director to:– Issue standards and procedures for the use of Rapid DNA instruments and resulting analyses– The National DNA Index System to include DNA identification records and DNA analyses by

criminal justice agencies using Rapid DNA instruments approved by the FBI Director in compliance with such standards and procedures.

3

Rapid DNA Act of 2017

* Previously codified at 42 U.S.C. Sections 14131 and 14132



Rapid DNA Planning and Implementation Key Points

4

With the enactment of the Rapid DNA Act of 2017, the FBI is poised to deliver a new capability to booking stations in States that allow for arrestee DNA collection.

To complement this capability, the FBI has enhanced CODIS software in NDIS participating laboratories. Deployment of CODIS 8.0 began in May 2018 and is complete.

Booking station Rapid DNA Pilots are planned for 2019.

Booking Standards and Procedures will be finalized following State, Local and Federal Pilot studies.

Non- CODIS Crime Scene Rapid DNA Task Force Establishment



DNA Advisory Board (established by the DNA Identification Act of 1994 and passed to SWGDAM) created separate Quality Assurance Standards (QAS) for Databasing and Forensic Laboratories due to inherent sample differencesHouse Committee Report accompanying H.R. 510 (Rapid DNA Act of 2017)– “At present, Rapid DNA technology can only be used for identification purposes, not

crime scene analysis.”Crime scene samples present many challenges that must be overcome– Many challenges require interpretation by a trained DNA analyst

Mixtures – (greater than 50% of crime scene samples analyzed)Low quantity DNADegraded DNA

– Forensic QAS requires quantitation of forensic samples– No Expert System for crime scene samples (requires DNA Analyst interpretation)– Evidence retention laws and preservation of evidence policies

5

Rapid DNA and Forensic Samples – Challenges



Crime scene samples analyzed with Rapid DNA instrumentation are not eligible for upload and/or searching in the Combined DNA Index System (CODIS) or the National DNA Index System (NDIS).There are many challenges that must be overcome before the FBI can consider the use of Rapid DNA systems for forensic sample analysis. The FBI continues to assess how these challenges can be addressed to include monitoring enhancements to Rapid DNA technology. Among the major challenges is the requirement to determine the amount of DNA present in a sample (necessary to maximize the resulting quality of the DNA profile, assess for contamination, etc.) and the development of Expert Systems for crime scene sample analysis.

SWGDAM, ASCLD and NDAA Position Statements

6

Rapid DNA Crime Scene Profiles Not Authorized for CODIS/NDIS



“The FBI shall issue guidance on the limited use of Rapid DNA devices, including the specific prohibition against enrolling and searching of crime scene evidence developed from Rapid DNA devices in CODIS.”

- Approved by CJIS Advisory Policy Board December 2017

7

Rapid DNA and Forensic Samples – Challenges



Rapid DNA System is a fully automated combination of– STR Kit/Rapid DNA Cartridge

(chemistry)– Instrument (hands)– Expert System (brain)

NDIS approval of first Rapid DNA System for use in an accredited laboratory for known reference buccal swabs that contains the 20 CODIS core loci on June 1, 2018

8

NDIS Procedures on Rapid DNA



2 Rapid DNA System Validations have been reviewed by NDIS– Validations focused on reference sample buccal swabs

Over 1300 unique reference samples tested in each validation– Several NDIS participating laboratories involved in validation– Initial validation required some changes to the original Expert System

rules and settings

9

Rapid DNA System Validations



4.4 Standards for the Use of Expert Systems An NDIS participating laboratory may use an Expert System approved by the FBI to generate offender and/or known reference DNA records that are eligible for upload to NDIS in accordance with the requirements of this section.

4.4.1 DefinitionAn Expert System is a software program or set of software programs that meets all of the following criteria:

– The NDIS laboratory intends to use the system to replace one or both of the technical review processes defined in Section 12.2 of the FBI’s Quality Assurance Standards for DNA Databasing Laboratories;

– The system performs all of the following functions without human participation:Identifies peaks/bandsAssigns allelesEnsures data meet laboratory-defined quality checks including, at a minimum, validating positive and negative controls and ladders; ensures alleles from overlapping loci are concordant (when applicable); ensures acceptable RFU values, and ensures acceptablepeak height/area ratios.Describes the rationale behind software decisions (e.g., Why a peak wasn't considered an allele; etc.);

– The system does not make incorrect allele calls in those cases where the results are classified as “Accept” (i.e., the data can be entered directly into CODIS without manual review). As soon as a human is inserted into one of these steps, all downstream steps have the potential for human participation. If human interpretation occurs while identifying peaks, then that step, and all subsequent steps, require manual review as specified in Section 12.2 of the FBI’s Quality Assurance Standards for DNA Databasing Laboratories. For example, opening a file using a software program is generally not considered human participation unless it is opening Genotyper in non-locked mode because alleles can inadvertently be clicked on or off.

10

NDIS Operational Procedures – Expert Systems



Expert Systems for reference samples– NDIS approved the first Expert System for reference samples in 2006– NDIS has approved the settings for over 35 Expert Systems since 2006

Expert Systems not approved for crime scene analysis in the laboratory– Challenges with mixtures

Approximately 50% of crime scene samples analyzed it the laboratory are mixtures– Require DNA analyst interpretation

Tools available to assist, but requires trained analyst interpretationProcess is not fully automated

Formed a “proof of concept” working group to look at Expert Systems for crime scene in February 2018– 5 labs taking a variety of crime scene data and trying to see if settings can be adjusted to correctly

pass single source crime scene samples and correctly flag mixtures and partial profiles that need analyst interpretation in the laboratory

– Request made to SWGDAM to explore further

11

NDIS Operational Procedures – Expert Systems



FBI Rapid DNA Task Force

Crime scene samples analyzed with Rapid DNA instrumentation are not eligible for upload and/or searching in CODIS or NDIS at this time.

12

Task Group #1 Rapid DNA Crime Scene Technology Advancement Working Group

Task Group #2Non-CODIS Rapid DNA Best Practices/Outreach and Courtroom Considerations

Rapid DNA Working Groups: ASCLD, SWGDAM, BioSAC



Objective: Drive and continuously monitor the maturity of Rapid DNA technology in order to ensure its reliable, responsible and expeditious implementation for crime scene use. When approved for CODIS submission, leverage partnerships and strategic planning to amplify the law enforcement and DNA community resources towards this critical, common objective.– Phase 1: Identify, test, and approve expert systems for crime scene DNA samples from

one individual. SWGDAM Forensic DNA Expert System Working Group currently evaluating the feasibility of using allele calling software tools as expert systems for interpreting single source forensic casework samples.Designing experiments to better understand the limitations of the instruments to help drive the advancement of the technology

– Sensitivity and stochastic studies involving the extraction process– Mixture studies involving the extraction process

– Phase 2: Create, test, and approve expert systems for crime scene DNA samples from more than one individual.

13

Crime Scene Rapid DNA Technology Advancement TG



Objective: To provide a recognized and singular voice to proactively share best practices for non-CODIS Rapid use with the LE community. This will allow for LEAs to strategically implement Rapid DNA at crime scenes in an informed and responsible manner, while preventing issues that would damage Rapid DNA reputation. To identify, address and mitigate obstacles to admitting Rapid DNA into a courtroom.

– Law Enforcement – Attorneys– DNA experts

14

Non-CODIS Rapid DNA Best Practices/Outreach and Courtroom Considerations Task Group



States Uploading Arrestee Profiles into CODIS/NDIS

Alabama Alaska ArizonaArkansas Texas UtahArmy (DoD) California ColoradoFBI Florida IllinoisKansas Louisiana MarylandMichigan Mississippi MissouriNevada New Jersey New MexicoNorth Carolina North Dakota OhioOklahoma Puerto Rico Rhode IslandSouth Carolina South Dakota TennesseeVirginia Wisconsin

15



Arrestee Sample Collection/Analysis

Arrest or Booking Arraignment/Indictment/ Warrant(Probable cause)

AL, AK, AZ, AR, CA, FL, KS, LA, MI, MO, MS, NJ, ND, OH, SC, SDFed

CO, IL, IN, MD, NV, NM**, NC, OK, RI, TN, TX, UT, VA, WI

*MN

16



NDIS

LDISFt. Lauderdale

LDISTallahassee

LDISTampa

1,000’s LE Agencies involved in R-DNA

SDIS SDIS

RDISRapid DNA Index System (RDIS)

SDIS

17

RDIS

Rapid DNA Index System (RDIS)



CODISArrestee &

OffenderLab

CODIS

Arrestee/ Offender

DNA

CODIS Enrollment, Search & Notification

EnrollSDIS

18

Forensic DNA

DNAProfile

Search

LDISCODIS

Crime Lab

HIT Notify

Notify HIT

PrimaryNotification

NotifyPhone, Fax or E-mail

Investigating Agency



Rapid-DNA Arrestee Enrollment, Search & Notification

CODISArrestee &

OffenderLab

CODIS Rapid App

Portal

NotifyHIT UDN

Notification• Booking Agency• Arresting Agency• Date Record Entered• SID#

Notify • Invest. Agency/POC• Incident#• Offense Code• Date Record Entered• SID#

UDNNotificationHIT

Forensic DNA

CODIS


CJIS MessageManager

HIT

Search

EnrollDNA

Profile

DISC-enabled profilesDNA Index Special Concern

Forensic DNA

FloridaLDIS

R-DNA SubmissionArrestee/ Offender

DNAArrestee

19

Autosearch

Unsolicited DNA Notification (UDN) Message

20

Booking Agency InformationBooking Agency ORI: FL037010AArresting Agency ORI: FL037010B

Arrestee SID: FL012345678Livescan Unique Event ID: 20140624001Fingerprint Date/Time: 2014-12-31T20:44:12Arrest Date/Time: 2014-12-31T20:30:44Booking Agency #: FLXYZ099Arresting Agency #: FLABC099

Investigative Agency InformationInvestigative Agency ORI: VA122015Z1Investigative Case ID: GL19960712Investigative Offense: Aggravated AssaultStatute of Limitations: 2030-07-12T00:00:00Investigator Phone Number: 703-576-5555Investigative Agency Contact Information: Detective XXX at the Criminal Investigative Division – Cold Case Unit of the Richmond Police Department. Department: Address: 9000 Jefferson Way, Richmond, VA 23240Extradition Information:

**** UNSOLICITED DNA NOTIFICATION ****This message is being sent to law enforcement agencies in response to a subject that was recently processed at a booking location. The SUBJECT is potentially linked to an unsolved crime of special concern by a DNA Hit/Match.

The investigating agency should immediately contact the booking agency to determine the status of the subject.



Rapid-DNA Arrestee Enrollment, Search & Notification

CODISArrestee &

OffenderLab

CODIS Rapid App

Portal

NotifyHIT UDN

Notification• Booking Agency• Arresting Agency• Date Record Entered• SID#

Notify • Invest. Agency/POC• Incident#• Offense Code• Date Record Entered• SID#

UDNNotificationHIT

Forensic DNA

CODIS


CJIS MessageManager

HIT

Search

EnrollDNA

Profile

DISC-enabled profilesDNA Index Special Concern

Forensic DNA

FloridaLDIS

R-DNA SubmissionArrestee/ Offender

DNAArrestee

21

Autosearch


UNCLASSIFIED // FOR OFFICIAL USE ONLY 22

DNA Index of Special Concern (DISC) Search

High stringency search automatically when arrestee profile analyzed by Rapid DNA system at the booking station is enrolled into CODIS

Unsolved forensic unknown 13 original core profiles in the DNA Index of Special Concern (DISC)

DISC profiles must be from unsolved crimes = Homicide, Sexual Assault/Rape, Kidnapping & Terrorism investigations

The enrolled arrestee profile will be searched against the non DISC-enabled forensic profiles during next routine CODIS autosearch process



DISC Profiles – Casework Metadata

Example of Casework Metadata entry:

Investigative Agency ID – VA9990100

Investigative Case Tracking ID – RPD20170321-05

Investigative Case Alias – Riverside Stalker

Investigator Email Address – [email protected]

Investigator Phone # - (804) 555-1212

Statute of Limitation - Unlimited

Offense Description – sexual assault

Extradition Information – yes, suspect will be extradited

Investigative Agency Contact Information – RPD 24/7 desk phone (804) 111-2345



Arrestee Enrollment Format (AEF)

• CMF/AEF Header Version• CMF/AEF Message Type• Booking Agency ID• Arresting Agency ID• Instrument ID• Instrument Manufacturer• Instrument Model & Serial #• Instrument Software Version• Instrument Operator User ID • Batch ID• Specimen ID• Specimen Category

• Loci• Kit• Export Date/Time• State Identification Number• FBI Number/UCN• Enrollment Event Identifier (ETN)• Agency Configurable Identifier • Arrest Date • Fingerprint Capture Date • Offense Category • Specimen Comment



Data Submission: Arrestee Enrollment Format (AEF)

25

FBI Rapid DNA staff traveled to California in January and February to meet with District Attorneys, Police Chiefs, Sheriffs and the California Department of Justices’ CJIS and Laboratory Division to brief them on Rapid DNA Booking Station pilot requirements, pilot plans and non-CODIS crime scene applications.



Booking Environment

CJIS WAN

State AFIS/State CSA

Rapid DNAInstrument

CODIS RDNAPortal

GFI Software

Booking AgencyHillsborough County Florida

Sheriff’s Office

Enrollment of Known DNA from Arrest Event

LiveScanFingerprints

Criminal

1 2

SID IUCNII

34

5

5

Routing

CJIS WAN

5

5

State WAN

7Rapid Hit

Notification (RHN)

FloridaSDIS

Booking Agency System



Booking Environment



Next Steps: Analyze at Time of Arrest Collection States (16)

Develop Policies:1. Number of Swabs Collected and Retention Policy2. Arrestee/Offender Hit Confirmation Policy for a non-DISC Forensic Hit

Develop Strategies:1. Test and Evaluation with SDIS Agency2. Pilot with SDIS Agency - real-time “in custody hit”3. Non CODIS LE Agency Booking Station Involvement

Booking Station Policies, Oversight and Audits?How long will it take and what do you need to implement? Reasonable Expectations



Next Steps: Indictment States (14), No Arrestee States (20)

Actions:1. Begin to curate/identify cases for DISC

Suggestion - Develop Answers to:1. Are We Ready for RDNA Analysis in the Booking Station?2. Status of Collect/No Collection System? 3. Status of DNA Indicator Flag in Criminal Histories?4. What Do We Need to Implement RDNA in Booking Station?5. How Long Will It Take?

Establish Realistic Expectations



Requirements for Booking Station Rapid DNA



The FBI set goals in 2018 to ensure efficient progress in implementing the Rapid DNA Act of 2017– CODIS 8.0 (Rapid DNA enhancements)– Draft Authority to Operate for Rapid DNA in Booking Stations– Draft Rapid Quality Assurance Standards for Booking Stations– Draft Rapid DNA Procedures for Booking Stations– Draft Pilot Plan and Schedule for 2019 Pilots– Rapid DNA Pilot and Implementation Steering Comm (AZ, CA, FL, LA and TX)

Monthly Conference Calls: Identify issues, Gaps and Share informationMeeting Sept 2017, Aug 2018, plan early 2019.

– 2019 Pilots– Routine Booking Station Arrestee Operation for CODIS Searches??

31

FBI’s approach to Implementation of the Rapid DNA Act



Rapid DNA Planning and Implementation Key Points

Crime scene samples analyzed with Rapid DNA instrumentation are not eligible for upload and/or searching in CODIS or NDIS at this time.

32

Step 1: RDNA Systems Approved for Accredited NDIS Lab UseStep 2: RDNA Systems Approved for Booking Station Pilot UseStep 3: RDNA Systems Approved for Routine Booking Station CODIS/NDIS Use

Goals for Rapid DNA Crime Scene Task Force:Step 4: Drive Development of Expert Systems for NDIS Lab Crime Scene UseStep 5: RDNA Systems Approved for Accredited NDIS Lab Crime Scene UseStep 6: RDNA Systems Approved for Pilot Crime Scene UseStep 7: RDNA Systems Approved for Routine Crime Scene Use



Revise the FBI Rapid DNA Web Page– Post Rapid DNA Booking Station AEF Specification Document– Post Rapid DNA Booking Station CMF Specification Document– Post Rapid DNA Booking Station Requirements Document– Draft: BS RQAS, ATO, BS Procedures– Establish [email protected] email for questions– Establish Rapid DNA Steering Committee and Survey Participating States

Lab Division Booking Station Trips to CaliforniaRapid DNA Symposium For Law Enforcement Associations and Execs. Presentations for IACP, ASCIA, MCC, MCSA, NSA, CICC, NAAG….Establish FBI non-CODIS Crime Scene Rapid DNA Task Force

33

FBI Rapid DNA Act Implementation Actions

mailto:[email protected]



Rapid DNA Webpage was completely redesigned

https://www.fbi.gov/services/laboratory/biometric-analysis/codis/rapid-dna

[email protected]

34

Rapid DNA Webpage

https://www.fbi.gov/services/laboratory/biometric-analysis/codis/rapid-dna

mailto:[email protected]



Contact Info

CODIS Unit 703 [email protected] [email protected]@fbi.gov [email protected]

35

unclassified // for official use only codis booking ... · unclassified // for official use only...

Documents