DNA Identification Record System Rules

CHAPTER 1

Section 1. Authority. The following rules are written in accordance with W.S. 7-19-401 through 7-19-406.

Section 2. Definitions.

1. DNA - Deoxyribonucleic Acid
2. DNA-COD - DNA C onvicted O ffender D atabase
3. CODIS - Co mbined D NA I dentification S ystem
4. NDIS - N ational D NA I ndex S ystem
5. DOC - D epartment o f C orrections
6. FTA Cards - For use in the storage of blood samples
7. FBI-Standards - Quality Assurance Standards for Convicted Offender DNA Databasing Laboratories, issued by FBI, dated April 1, 1999.
8. DNA Collection Kit shall include:
   1. instructions for sample collection
   2. blood collection tube
   3. transport cylinder for blood tube
   4. blue tamper proof cap
   5. submission form
   6. security/identification labels
   7. expiration date

9. Submission Form shall include:
   1. Subject’s name (last, first and middle name)
   2. Subject’s DOC or criminal justice agency number
   3. Subject’s FBI Identification Number
   4. Subject’s State Identification Number
   5. Subject’s race
   6. Subject’s sex
   7. Subject’s date of birth
   8. Subject’s Social Security Number
   9. Offense of Subject
   10. Date of offense
   11. Date and Time of Blood Draw
   12. Name of the Agency or Institution submitting blood sample and the Wyoming County in which it is located
   13. Name of individual drawing the blood sample
   14. Name of individual sealing the blood sample
   15. Name of individual storing the blood sample until sent to the Wyoming State Crime Laboratory
   16. Name of individual transferring the blood sample to the Wyoming State Crime Laboratory
   17. Subject’s signature and date

Section 3. Collection, Storage and Transfer of Blood Samples.

1. Collection Procedures - The Wyoming State DNA-COD Collection Kit and its specific collection procedures shall only be used to secure blood samples designated for the Wyoming DNA-COD.

2. Storage Procedures Prior to Submittal - The sealed white envelope shall be placed in a secure refrigerator at the DOC Institution or Criminal Justice Agency until submitted to the Wyoming State Crime Laboratory.
3. Sample Transfer Procedures - the DNA-COD sample shall be submitted to the Laboratory within seven days of collection. No sample shall be accepted for inclusion in the database if received at the Wyoming State Crime Laboratory ten days after it is collection.
   1. Samples mailed to the Laboratory shall be put in a protective container to prevent breakage while shipping and sent by Registered Mail to:

      Wyoming State Crime Laboratory
      208 South College Drive
      Cheyenne WY 82007

   2. Hand-delivered samples shall be delivered to:

      Wyoming State Crime Laboratory
      208 South College Drive
      Cheyenne WY 82002

Section 4. DNA-COD Kit Procedures

1. Receipt - The receipt of each DNA Convicted Offender Database sample at the Wyoming State Crime Laboratory shall be the responsibility of the CODIS designated personnel. Upon receipt at the Crime Laboratory, the outermost shipping container shall be dated and initialed by the person receiving the packaged samples and then placed in a secure area for transport to the CODIS-COD area.

2. Acceptance Criteria - the DNA-COD sample shall be accepted on the basis of all of the following criteria:
   1. Sealed white envelope
   2. Completed white envelope submittal form
   3. Legible and accurate information
   4. No prior accepted DNA-COD
   5. Plastic transport container blue cap properly sealed
   6. Blood tube properly sealed
   7. Blood tube legibly and accurately completed
   8. Sufficient amount of blood in tube (approximately 3/4 full)

3. Acceptance Notification - A complete list of the accepted DNA Convicted Offender Database subjects shall be provided monthly to the DOC. Each copy made of the DNA-COD list shall be documented in the DNA-COD Administration File. Documentation for each copy transferred, a Receipt of Transfer, shall include date, method of delivery, item being transferred, agency identification, signature of person receiving the copy and the CODIS person completing the transfer.

4. Rejection Criteria - the DNA-COD sample shall be rejected on the basis of any of the following criteria:
   1. Unsealed white envelope
   2. Incomplete white envelope submittal form
   3. Illegible and/or inaccurate information
   4. Prior accepted DNA-COD sample
   5. Plastic transport container improperly sealed
   6. Blood tube improperly sealed
   7. Blood tube label illegible and/or accurate
   8. Insufficient amount of blood given in tube
   9. Leakage of blood into transport tube

5. Rejection Notification - All rejection notifications shall be sent only to the DOC and will specify the reason for rejection.
   1. Rejection of any sample shall be made by the CODIS Manager or qualified CODIS personnel.
   2. Each notification shall be documented in the DOC Notification File with a copy of the rejected DNA-COD Kit white envelope.
   3. The rejected sample blood tube shall not be opened.
   4. The rejected sample blood tube shall be disposed of in a manner compliant with Wyoming State Crime Laboratory Safety Guidelines.

6. Chain of Custody - No DNA-COD sample shall be stored, intermingled or physically associated with Wyoming State Crime Laboratory case work evidence.
   1. Only designated CODIS personnel shall initiate and maintain the internal Laboratory chain of custody.
   2. Evidence Tracking of Accepted Samples - Each accepted DNA sample shall be marked with a unique DNA-COD Identification Number.
      1. The Identification Number shall be written in the space provided on the pre-printed white submittal envelope containing the sample.
      2. The Identification Number shall be written on the case file established for the sample.
   3. A DNA-COD Inventory Checklist form shall be initiated for each sample.
   4. A DNA-COD Evidence Flow Log form shall be initiated for each sample.

7. Initial Evaluation of Envelope Contents
   1. The clear tamper proof plastic transport tube with blue cap shall be removed from the white submittal envelope and inspected for integrity.
   2. the blood tube seal integrity shall be evaluated.
   3. the subject’s name on the blood tube shall be verified with the subject’s name on the front of the white submittal envelope.
   4. The blood tube sample shall be removed from the transport container, transferred into a bubble pack and replaced into the white submittal envelope for a short term storage in the DNA evidence refrigerator until processed.
   5. Upon completion of each sample accession, the DNA-COD Evidence Flow Log and the DNA-COD Inventory Checklist shall be placed into the (sample) case file.

8. Sample Processing Procedures - Bio-hazard safety procedures in accordance with the Wyoming State Crime Laboratory safety program shall be followed when handling biological samples. Each sample shall be handled and examined one at a time. The following procedures shall be used:
   1. Only CODIS personnel shall process DNA-COD samples.
   2. Remove the white submittal envelope to be processed from the DNA-COD evidence refrigerator.
   3. Retrieve the DNA-COD Evidence Flow Log from the case file. Verify the Laboratory case number and sign the Log for that specific Laboratory case including date, time and initials.
   4. Retrieve the DNA-COD Inventory Checklist for the specific case.
   5. Open the white submitting envelope and remove bubble pack with the blood tube; save the white submitting envelope.
   6. Verify that the case number on the submittal envelope is the same case number that is on the case file.
   7. Verify that the name on the blood sample is the same name as on the white envelope.
   8. Complete and initial the DNA-COD Inventory Checklist for the sample.

9. Sample Spotting Procedure - Bio-hazard safety procedures in accordance with the Wyoming State Crime Laboratory safety program shall be followed when handling biological samples. In addition, gloves shall be worn at all times and changed with each sample. Each sample shall be handled, examined and spotted one at a time to avoid possible cross contamination. The following procedures shall be used:
   1. Work Area - All work shall be done in a bio-hazard free area. Processing shall be done on a table surface that is cleaned with at least a 15% aqueous bleach solution. The examination area shall then be covered with white paper.
   2. Personal Preparation - All samples and FTA stain cards shall only be handled when wearing gloves. All utensils shall be disposable or cleaned by using the Biology Section procedures for working with biological samples.
   3. FTA Stain Cards - Two (2) FTA Stain cards are prepared for each sample. Each sample shall be handled, examined and spotted one at a tine to avoid possible cross contamination from another biological sample or from the examiner. Each stain card is prepared by recording the following information in the area provided on the card or by attaching the bar code:
      1. Laboratory DNA Case Number
      2. Submitting agency and Subject’s identifying number
      3. Date of spotting and initials of CODIS personnel preparing sample
   4. Blood Sample -
      1. The tube of blood is removed from the bubble package
      2. The blood is mixed well by carefully inverting the tube several times before opening.
      3. Each tube is opened using a new tube decapper to remove the seal stopper.
      4. Using a disposable pipettor, the blood is pipetted onto the FTA stain card in a circular motion inside the printed circle.
      5. The stain cards are dried in the designated drying area (DNA HOOD) for twelve to twenty-four hours.
      6. The blood tube, decapper and the blue transport cap are disposed of in the bio-hazard container designated for incineration.
      7. The white submitting envelope, DNA-COD Inventory Checklist and the DNA-COD Evidence Flow Record are placed into the case file.
      8. Each dried stain card is placed with a desiccant into a foil envelope labeled with the Laboratory DNA case number, Submitting Agency and Subject’s identifying number and the date of sealing the foil pack.
      9. The foil pack is sealed and initialed over the seal
      10. The foil pack is then stored in the DNA freezer for later processing.
   5. Storage of Samples - All prepared stain cards for DNA-COD samples shall be frozen at approximately -70 degrees prior to profiling.

Section 5. Profiling Convicted Offender Database Samples

1. Outsourcing Samples for Processing - testing of the DNA-COD samples for DNA shall follow the criteria established in W.S. 7-19-403 (c) and FBI Standards dated April 1, 1999.
   1. DNA-COD samples shall be handled and stored separately from normal Laboratory case work and access to those samples shall be limited to CODIS personnel.
   2. upon removing each sample from the DNA storage freezer, the respective DNA-COD Evidence Flow Log shall be initialed, dated, carrier/shipper shall be documented and shall include the final tracking notice.
   3. Each sample (foil package envelope) transferred to a contracting Laboratory shall:
      1. be packaged for transfer following established Wyoming State Crime Laboratory procedures for evidence handling and transferring.
      2. have the Evidence Flow Log show the transfer date and initials of person making the transfer.
   4. Each sample tested in the Wyoming State Crime Laboratory shall follow the same documentation established for contracting laboratories but reflect in-house testing.
2. Receiving Samples After Processing - Upon completion of testing, each sample shall be returned to DNA storage and the DNA-COD Evidence Flow Log for each sample shall be dated and initialed.
   1. All samples shall be stored in accordance with the manufacturer’s recommendations.
3. Reports of DNA Testing - No written report shall be constructed on any DNA-COD database case number without approval of the CODIS manager and Laboratory Supervisor. Any such release shall be in accordance with Wyoming State Statute and CODIS guidelines, and then documented in the respective case file.
   1. Security of all information obtained by accession of and testing from DNA-COD samples shall follow the rules and regulations established under CODIS Guidelines, DNA Database Act of 1994, W.S. 7-19-404 and the Rules for the Wyoming DNA Identification Records System established by the Wyoming State Crime Laboratory.

Section 6. DNA Profiles and CODIS

1. Requirements for DNA Samples Entered into CODIS - All samples entered into CODIS shall follow the rules set forth by the DNA Identification Act of 1994, and the Standards for Laboratories participating in the National DNA Identification Database issued by the FBI, dated April, 1 1999.

2. Procedures for Entering Samples into CODIS - Only CODIS personnel shall enter data into the Wyoming DNA Convicted Offender Database.

Section 7. Access to DNA Profiles

1. Laboratory Rules for Access to DNA Sample Information DNA Database Information, and DNA Samples Generated by the Convicted Felon Database System.
   1. Laboratory Personnel - only CODIS personnel shall have physical access to the DNA Convicted Offender Database.
      1. A) Biology Unit personnel have access only to the non DNA-COD areas of the CODIS including the capabilities of searching CODIS profiles as described above.
   2. Non-Laboratory Personnel - access to DNA records and DNA Database shall follow the criteria as defined in W.S. 7-19-402 (a) and W.S. 7-19-404 (a)(b) and the Rules and Regulations established by the Wyoming Division of Criminal Investigation.
      1. Original DNA database sample case files shall be stored in the Biology Unit area and access to those files shall be only CODIS personnel and the Laboratory Supervisor.
   3. Access to DNA Database Samples
      1. All requests by authorized agencies (W.S. 7-19-404(a)) for information on DNA records or requests for DNA samples shall be submitted in writing to the Wyoming State Crime Laboratory Supervisor. “In writing” includes the use of facsimile copies of computer requests which can be printed.
         1. The Laboratory Supervisor shall verify all requests prior to releasing any information or DNA samples. Only after verification shall a request for release of information be made to the CODIS Manager.
      2. All requests for information about DNA case samples shall be filed in the respective case file, and documentation of the action taken on the request shall be placed in the file. All actions taken on request shall meet CODIS/NDIS guidelines for the release of information.
      3. A separate file shall be established for cases which requests have been received and documentation of the resulting actions.

Section 8. Expungement of DNA Profiles

1. Criteria for Expungement - The Expungement of information in the state DNA Database is authorized in W.S. 7-19-405. Prior to initiation of expungement, the Division of Criminal Investigation shall receive an original written request for expungement accompanied by a certified copy of the court order reversing and dismissing the conviction and providing for expungement.
   1. The Assistant Attorney General assigned to DCI shall verify the written request and the certified copy of the court order for expungement.
   2. Upon verification of the expungement order, the Assistant Attorney General shall give copies of the request, the court order and a memorandum of verification for expungement to the Supervisor of the Crime Laboratory.

2. Laboratory Procedures for Expungement of DNA Samples
   1. The supervisor of the Crime Laboratory shall request the CODIS Manager to retrieve and destroy from the original case file all identifiable information for the subject.
      1. A memorandum shall be placed in the original case file and state that all original identifiable information has been deleted pursuant to a court order for expungement.
      2. No identifying information shall be contained in the memorandum for deletion of information.

3. The Supervisor of the Crime Laboratory shall notify the CODIS Manager that identifying information, DNA records, and DNA Database information shall be removed from the state DNA database system for the subject of the expungement order.
   1. The CODIS Manager shall remove all identifying information and the DNA records from the state DNA database within five working days and perform a request to the National DNA Index System for deletion.
   2. A memorandum from the CODIS Manager to the Supervisor of the Crime Laboratory shall be issued within five working days confirming that the DNA records and identifying information have been removed from the state CODIS database.
   3. No identifying information shall be contained in the memorandum of deletion by the CODIS Manager.
   4. A copy of the memorandum of deletion from the state DNA database shall be included in the original case file.
   5. The Supervisor of the Crime Laboratory shall retain in a separate filing system, originals of all expungement orders and copies of resulting memoranda.