Combined DNA Index System Operational and Laboratory Vulnerabilities

Audit Report 06-32
May 2006
Office of the Inspector General

Appendix VI
CODIS User Annual Reminder Form


The text in this Appendix was prepared by the auditee and uncorrected by the OIG.



ANNUAL REVIEW OF DNA RECORDS ACCEPTABLE AT NDIS


_________________________________________________
Name of User

_________________________________________________
Name of NDIS Participating Laboratory

Note: This verification shall be completed annually by CODIS Users [government employees who (1) have login access to the CODIS (i.e., state or local) system; or (2) are qualified DNA analysts responsible for producing DNA profiles stored in NDIS]. Please review the following reminders concerning the categories of DNA records that are allowed to be uploaded to the National DNA Index System and indicate your understanding of, and compliance with, these requirements.

  1. In accordance with the DNA Identification Act of 1994, as amended, and the NDIS Privacy Act Notice, only the following types of DNA records are permitted to be maintained in NDIS and thus uploaded to NDIS from a NDIS participating laboratory:

    1. DNA identification records of
      1. persons convicted of crimes [Convicted Offender];
      2. persons who have been charged in an indictment or information with a crime [Arrestee];
      3. other persons whose DNA samples are collected under applicable legal authorities, provided that DNA samples that are voluntarily submitted solely for elimination purposes shall not be included in the National DNA Index System [Arrestee, Legal];
    2. analyses of DNA samples recovered from crime scenes [Forensic];
    3. analyses of DNA samples recovered from unidentified human remains [Unidentified Human (Remains)];
    4. analyses of DNA samples voluntarily contributed from relatives of missing persons [Relatives of Missing Person]; and
    5. analyses of DNA samples from missing persons [Missing Person].

    Only DNA records that belong to the above-referenced categories as defined in the NDIS Procedures shall be uploaded to NDIS.

  2. In accordance with the NDIS Procedure “DNA Data Acceptance Standards” the following additional rules govern the uploading of DNA records:

    1. DNA profiles submitted to NDIS shall be interpretable (interpretable - any DNA data that could be used to make an exclusion).
    2. A laboratory submitting a DNA profile to the Forensic Index at NDIS that is derived from forensic evidence, shall only offer those alleles that are attributed to the putative perpetrator(s). Alleles derived from forensic profiles that are unambiguously attributed to a victim or individuals other than the perpetrator(s), such as, but not limited to a husband or boyfriend, shall not be offered to NDIS.
    3. The DNA results from any locus in which an ambiguity exists in the assignment of one or more alleles to the putative perpetrator(s) may be offered to NDIS. The mere observation of alleles that may be attributed to individuals other than the putative perpetrator, does not in itself, preclude offering DNA profiles to NDIS at that locus.
    4. Forensic mixture DNA profiles submitted to NDIS shall have up to 4 alleles at a maximum of 4 core loci, the remaining 9 core loci shall have no more than 2 alleles at each locus.

I verify that (a) I have reviewed these requirements relating to the authorized categories of DNA records that can be uploaded to NDIS; (b) I understand these requirements; and (c) I agree to abide by these requirements for participation in NDIS.

Signed By _______________________________   Date ____________


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