nonmedical dna applications - science & society...advances in human genetic identification,...

Nonmedical DNA Applications

Case Study Report:

DNA-PROKIDS

Joyce Kim, BA Sara H Katsanis, MS*

Duke Institute for Genome Sciences & Policy Duke University

Durham, North Carolina 27708

*Address correspondence to Sara Huston Katsanis [email protected] - 919.668.7499

Published August 2012. Copyright 2012 Duke University. All rights reserved. No

portion of this report may be reproduced by any means without written permission from the publisher.

Kim & Katsanis, Duke U DNA Case Report: DNA-PROKIDS of 27

Acknowledgments

We thank Drs. Jose Lorente, Arthur Eisenberg, and Bruce Budowle for their time and consultation in developing this report. We also are grateful for Dr. Jennifer K. Wagner’s review of this report. The authors assume full responsibility for the report and its contents.


Table of Contents

EXECUTIVE SUMMARY .................................................................................................................... 4 BACKGROUND ................................................................................................................................... 6 How might DNA be useful in investigating TIP cases? ............................................................... 6

How is DNA used in the United States to solve violent crimes? ............................................... 7 How is DNA used to identify missing persons?........................................................................... 7 How is DNA used in immigration? ................................................................................................ 9 Can DNA be used to identify TIP victims?.................................................................................. 10 What countries have started using DNA for identifying TIP victims? ................................... 10

BACKGROUND ON DNA-PROKIDS........................................................................................... 12 DNA-PROKIDS Program Mission ................................................................................................ 12 DNA-PROKIDS Operations........................................................................................................... 12

STATUS OF DNA-PROKIDS PROGRAM ................................................................................... 14 Cooperating Countries.................................................................................................................... 16 DNA-PROKIDS Progress and Outcomes..................................................................................... 17

PROGRAM CHALLENGES AND POLICY GAPS...................................................................... 18 Future Directions ............................................................................................................................. 23

BIBLIOGRAPHY................................................................................................................................. 25

INDEX OF FIGURES AND TABLES

Figure 1. Structure of Missing Persons Databases…………………………………...….8 Figure 2. DNA-PROKIDS program leadership………………………………………...14 Figure 3. DNA-PROKIDS workflow……………………………………………........….15 Table 1. Example Countries with DNA Programs to Identify TIP Victims.………...11 Table 2. Countries and Authorities Cooperating with DNA-PROKIDS……...……..16 Box 1. False Start: DNA-PROKIDS implementation attempt in Haiti……………….18


EXECUTIVE SUMMARY

Advances in human genetic identification, combined with reports of child trafficking and adoption fraud have led to proposals to initiate DNA collection to prevent Trafficking in Persons (TIP). Genetic identification of missing persons typically involves the construction and comparison of two databases, one containing DNA profiles of relatives of missing persons and another containing DNA profiles from unknown remains. The collection of DNA from potential victims identified through law enforcement or health and social services along with systematic collection of DNA from family members of missing persons may facilitate the identification of victims of trafficking. DNA technologies can also be used to prevent adoption fraud by confirming or disproving claims of biological relationship in immigration and adoption procedures.

DNA-PROKIDS (Program for Kids Identification with DNA Systems) is an international effort working to establish worldwide DNA registries to combat TIP. DNA-PROKIDS supplies authorities in participating countries with the DNA kits, which contain sample submission forms and collection devices to obtain buccal swab samples or pin-prick blood samples. By providing resources to integrate genetic technologies into TIP, DNA-PROKIDS aims to expand participating countries’ capacities to identify trafficked children, reunite families affected by TIP, and provide law enforcement with resources to build investigations and police intelligence. As of May 2012, DNA-PROKIDS is collaborating with laboratories in 12 participating countries.

There are numerous challenges with applying genetic technologies to prevent and prosecute human trafficking, including the following:

1. Tailoring Memoranda of Understanding & managing international collaborations.

Memoranda of Understanding (MOUs) establish 3-year partnerships between DNA-PROKIDS and participating countries. DNA-PROKIDS may use MOUs to identify conditions for ongoing collaboration, tailor achievable goals for individual countries, and enact enforceable safeguards and regular progress assessments to ensure aims are being met.

2. Initiating mission-based use of DNA-PROKIDS resources. Mission-based use of DNA-PROKIDS resources is particularly difficult to enforce because DNA-


PROKIDS minimizes its regulation of collaborations with the aim of preserving the autonomy of participating countries. DNA-PROKIDS may request documentation from participating countries to ensure resources being used specifically in TIP investigations.

3. Identifying approaches to facilitate database security and management. In some instances, barriers, such as customs inspections, have delayed or blocked shipment and delivery of sample collection kits across international borders. Additionally, because countries do not notify DNA-PROKIDS when they return samples for analysis, DNA-PROKIDS has not been able to monitor how many countries are returning samples and, of these samples, how many shipments are being delayed or blocked by customs or by other delivery problems. To address these challenges, DNA-PROKIDS can systemize sample delivery and shipment through customs

4. Identifying approaches to facilitate profile security and privacy. Current DNA-PROKIDS policies do not establish a standardized workflow for sample collection and shipment, sample processing, and database searches across collaborating countries. As DNA-PROKIDS grows, it may become necessary to establish a standard approach to approving and conducting international DNA database searches. More importantly, the parameters for storing profiles and searching across international databases must be considered.

5. Carrying out education and campaigns to encourage prioritization of anti-TIP efforts within countries and public participation in DNA-PROKIDS efforts. In many countries where TIP is prevalent, emergency aid, provision of food and shelter, poverty alleviation, controlling drug crime and homicide, and managing political instability often are regarded as more urgent needs than fighting human trafficking. As a result, it can be difficult to engage government and law enforcement in collecting DNA samples for anti-TIP efforts. DNA-PROKIDS must actively encourage community members to come forth with cases and engage law enforcement to achieve program goals.

As this effort to expand the program to additional regions affected by human trafficking moves forward, DNA-PROKIDS should further refine its approach in individual countries to ensure clear communication and effective cooperation, adapted to each country’s needs and capabilities.


BACKGROUND

The global trafficking of men, women and children for reasons of prostitution and forced labor is a problem of international concern. Countries affected by trafficking in persons (TIP) may serve as source sites (where victims are taken) transit sites (regions en route), and/or final destinations. The Trafficking Victims Protection Act (TVPA) defines human trafficking using multiple terms, including involuntary servitude, slavery, debt bondage, and forced labor.(United Nations Office on Drugs and Crime, 2004; U.S. Department of State, 2011) It has been estimated that, 12.3 million adults and children are in forced labor, bonded labor, and forced prostitution around the world.(U.S. Department of State, 2011) According to UNICEF, as many as two million children are subjected to prostitution in the global commercial sex trade.(United Nations Global Initiative to Fight Human Trafficking, 2009; Department of State, 2011) Few, however, are identified as victims of human trafficking and, of these, even fewer are reunited with their families. Combating TIP by punishing traffickers, and protecting victims requires a cooperative approach among law enforcement, social services, and victim support groups and international communication and collaboration.(United Nations Office on Drugs and Crime, 2004)

In addition to human trafficking, millions more are victims of illegal adoptions, human organ trade, and child pornography. While not necessarily considered TIP under the TVPA as human trafficking,(Public law 106-386: Victims of Trafficking and Violence Protection Act of 2000, 2000) these crimes similarly victimize and endanger children and adults.

How might DNA be useful in investigating TIP cases?

DNA technologies are used routinely in immigration to assess kinship by testing genetic similarity. By confirming or refuting claims of biological relationships between two or more subjects, DNA is used to inform whether to advance or halt immigration petitions and international adoption cases. Genetic relationship testing also is used to identify missing persons and unidentified remains. Branching these applications, genetic technologies can be used to link individuals who have been reported missing to cases of TIP.


How is DNA used in the United States to solve violent crimes?

Investigations of violent crimes often involve DNA technologies. In many cases, DNA forensic analysis may be the only way to reliably and efficiently identify victims of violent crimes. DNA technologies, therefore, can lay a crucial foundation for investigations.

DNA analysis can serve multiple purposes: 1. Matching crime evidence to a known suspect 2. Aiding in exonerations for those wrongfully convicted 3. Providing genetic clues about a suspect 4. Developing DNA databases to help solve future crimes 5. Identify missing persons and unidentified remains

In the United States, forensic analysts have adapted a set of 13 markers as the standard for DNA profiling. The US law enforcement DNA database system (CODIS: Combined DNA Index System) is subdivided at the national, state, and local levels and contains three indices: (1) the forensic index, which contains DNA profiles developed from crime scene evidence (e.g., semen or blood stains); (2) the offender index, which contains DNA profiles of individuals convicted of or arrested for certain crimes; and (3) the missing persons index, which contains unidentified remains, family reference samples, and specimens from missing persons.(U.S. Federal Bureau of Investigation, 2011) The CODIS database is searched routinely for matches on unsolved cases between the forensic and offender indices. The missing persons index is used to link unidentified persons or family members to open criminal investigations.

How is DNA used to identify missing persons?

The profiles in the CODIS missing persons index are collected by law enforcement to maintain chain of custody for potential legal use. In general, genetic identification of missing persons relies upon the generation and comparison of two databases: the Reference Database (RD) containing DNA profiles of relatives of missing persons and the Questioned Database (QD) containing DNA profiles from unknown remains (see


Figure 1).(Budowle, Bieber, & Eisenberg, 2005; Lorente et al., 2002) The RD and QD are compared for partial matches, indicating a potential biological relationship.

Figure 1. Structure of Missing Persons Databases. Identification of corpses and human remains in the Spanish Phoenix program, the first national effort to identify missing persons and unidentified human remains using DNA technologies.(Alvarez-Cubero et al., 2012; Lorente et al., 2002) Adapted from Alvarez-Cubero et al 2012.

Searches of the missing persons index involve applications of genetic relationship testing and kinship analysis to detect biological relatedness between missing or unidentified persons and their families. Human genetic identification for relationship testing usually involves testing for the CODIS autosomal STRs and sometimes Y chromosome STRs to trace paternal lineage. For example, Spain instituted a national effort, termed the “Phoenix Program,” to identify unidentified human remains using


DNA technologies. This program established two independent mitochondrial DNA (mtDNA) databases, which are used to identify family members by comparing the databases for genetic similarity.(Lorente et al., 2001)

The nation-wide CODIS index contains only DNA profiles with no linked demographic information other than the contributing laboratory of a given profile. For missing persons investigations, additional demographic information is useful (e.g., age of missing person, date last seen, sex), particularly for confirming or refuting potential kinship of DNA profiles. To facilitate this, the US employs the National Missing & Unidentified Person System (NamUs), created by the National Institute of Justice (NIJ). NamUs is comprised of two web-based, publically accessible databases: the Missing Person Database and the Unidentified Person Database. NamUs is a system that law enforcement, medical professionals, first responders, social services, families of missing persons, and the public can use to search for and report information related to specific missing persons cases. NamUs provides a searchable, demographic backbone to the DNA profiles of CODIS to aid missing persons investigations (NamUS National Missing and Unidentified Persons System, http://www.namus.gov/).

How is DNA used in immigration?

Several countries, including the United States, Canada, Australia, Finland, Sweden, Norway, the Netherlands, and Hong Kong Special Administrative Region of China, have begun incorporating genetic relationship testing into border security measures to confirm immigration petitioners’ relatedness to individuals who are already settled in the receiving country.(Taitz, Weekers, & Mosca, 2002) In many cases, families petitioning for visas to reunify their families in one country may elect to undergo genetic testing to demonstrate biological relatedness. In some cases, genetic testing is permitted in order to expedite reviews of immigration petitions, particularly for families who may not have official documentation of their biological relatedness.(International Commission on Missing Persons, 2008) Notably, the US also implemented genetic testing as a measure against international adoption fraud of children from Guatemala and Vietnam.(International Commission against Impunity in Guatemala, 2010; U.S. Department of State, 2010; U.S. Citizenship and Immigration Services, 2008)


Can DNA be used to identify TIP victims?

In addition to aiding missing persons identifications, DNA database comparisons can be used to verify that an individual is a victim of human trafficking, propel further police investigation, and potentially allow victims to be reunified with their families. Advances in human genetic identification, combined with reports of child trafficking and adoption fraud(Andre, 2012; Corbett, 2002; Groves, 2009; Llorca, 2008) have led to proposals to initiate DNA collection to identify TIP victims.(Birchard, 1998; Katsanis, 2010; Sherwell, 2008) Identification may be accomplished by the collection of DNA from potential victims identified through law enforcement, health and social services to populate a QD. Systematic collection of DNA from family members of missing persons would establish an international RD useful for identifying trafficking victims.

Human genetic identification technologies can also help prevent adoption fraud by confirming or disproving claims of biological relationship in immigration and adoption procedures, such as those in Guatemala and Vietnam.(International Commission against Impunity in Guatemala, 2010; U.S. Department of State, 2010; U.S. Citizenship and Immigration Services, 2008) Applications of relationship testing in human trafficking and adoption fraud investigations make use of SNP markers for individual identification, as well as ancestry, lineage, and phenotypic markers.

What countries have started using DNA for identifying TIP victims?

A number of countries have applied DNA technologies to identify and rescue trafficking victims including Guatemala, China, and United Arab Emirates (see Table 1). As a source, transit, and destination country, Guatemala is emerging as an early study for implementing DNA testing in both cases of TIP and for detecting international adoption fraud. As international adoptions become increasingly prevalent, the risk of adoption fraud from source countries increases, as was the case for Guatemalan adoptions in the past decade. DNA confirmation in adoptions had been required since December 1996 to demonstrate that a child placed for adoption was related to the relinquishing parent. However, corruption amongst Guatemalan officials and mishandled communication resulted in fraudulent DNA testing.(International


Commission against Impunity in Guatemala, 2010; Andre, 2012; Corbett, 2002; Llorca, 2008) From 2000-2008, nearly 30,000 Guatemalan children were placed for adoption in U.S. families,(U.S. Department of State, 2010) until adoptions were halted in June 2008 after suspicion of fraud.(Joint Council on International Children's Services and National Council for Adoption, 2007) Reports of fraud included birth mother coercion, fraudulent identities, and child theft.(International Commission against Impunity in Guatemala, 2010; Birchard, 1998; Katsanis, 2010; Sherwell, 2008) In response, the US Embassy began handling all DNA testing within the US Embassy rather than through the US-approved medical examiners in Guatemala.(Llorca, 2008) Further, in September 2010, the Guatemalan Congress enacted the Alba-Kenneth Warning System, requiring DNA databanking to accompany any report of missing children.(Decreto número 28-2010, 2010) It is not known how many of the thousands of international adoptions out of Guatemala were tainted by these unethical practices.

Table 1. Example Countries with DNA Programs to Identify TIP Victims Country DNA Approach Progress

China Nationwide DNA database for kidnapped children, parents of missing children, and known traffickers.(Marshall, 2001)

Facilitated several hundreds of family reunifications.(Marshall, 2001)

Guatemala Alba-Kenneth Warning System requires DNA databanking of missing children to prevent adoption fraud.(Decreto número 28-2010, 2010)

At least one child reunified with biological mother.(Sherwell, 2008)

United Arab Emirates (UAE)

DNA testing of alleged parents and children to combat trafficking of minors to serve as camel jockeys.(Truong & Angeles, 2005)

Completed DNA testing for over 446 children and 65 false parenthood claims; Facilitated the return of over 250 children to their home countries and arrests and prosecutions of traffickers.(Truong & Angeles, 2005)


BACKGROUND ON DNA-‐PROKIDS

DNA-‐PROKIDS Program Mission

The complex social, economic, cultural, and political factors necessitate a proactive, comprehensive approach to the prevention and prosecution of human trafficking. DNA-PROKIDS (Program for Kids Identification with DNA Systems) is an international collaboration that integrates forensic DNA approaches into efforts to combat global trafficking in children. In many countries, criminal organizations have been operating for decades and may have connections within the local or national governments.(Lorente, 2012) DNA-PROKIDS aims, ultimately, to establish worldwide DNA registries. These registries are used to (a) identify trafficked children and reunite them with their families, (b) provide law enforcement a scientific methodology to build investigations, and (c) develop police intelligence. DNA-PROKIDS targets trafficking rings embedded in organized crime, corruption, and violence.

DNA-‐PROKIDS Operations

DNA-PROKIDS is an international effort to promote the use of human genetic identification to combat TIP (see Figure 2). The program was initiated by Dr. Jose A. Lorente at the University of Granada (UGR, Granada, Spain) Genetic Identification Laboratory, which continues to serve as the headquarters. The University of North Texas Center for Human Identification (UNTCHI, Fort Worth, TX, USA) partnered with the UGR to develop and expand DNA-PROKIDS globally. UNTCHI provides DNA analysis for many countries that lack processing capabilities. Both UNTCHI and UGR are recognized centers of excellence that lead the identification of missing persons and unidentified human remains in their respective countries.(Eisenberg & Schade, 2010)

DNA-PROKIDS received initial funding from the Spanish Government, Government of the State of Andalusia, and private companies and foundations, including the BBVA Group (Bilbao, Spain), Caja GRANADA (Granada, Spain), and Fundacion Botin (Santander, Spain). The Life Technologies Foundation (Aurora, CO, USA) granted an award to UNTCHI for further program development and expansion. Experts from eleven nations and the UN convened at the DNA-PROKIDS Forerunner


Scientific Group Meeting in October 2009 to establish collaborations for DNA collection and database development.(Eisenberg & Schade, 2010) Sample collection kits were designed by Bode Technologies, Inc. (Lorton, VA, USA) for DNA-PROKIDS. Life Technologies, Inc. (Aurora, CO, USA) also donates resources for DNA-PROKIDS. The DNA kits contain documentation for sample collection and submission, including chain of custody and voluntary consent forms. The collection devices may be used to obtain buccal swab samples or pin-prick blood samples. Kits also include educational sheets, UNTCHI’s contact information, as well as forms to collect information from individuals being sampled. These forms document minimal personal information (e.g., name, relationship to child, place of sample collection) but no information on any related case or the context of the sampling. DNA-PROKIDS may also distribute computers with software for law enforcement to store case-related information, scanners to digitize sample collection cards, digital Polaroid cameras for photo documentation, and software to perform DNA profile comparisons.(Eisenberg & Schade, 2010)

DNA-PROKIDS aims ultimately to facilitate the use and exchange of DNA technologies to combat TIP both within and between countries. To achieve this, DNA-PROKIDS identified specific aims for program implementation planned across three phases:

I. Phase 1 (2009-2014): Establish Memoranda of Understanding (MOUs) with between 20 and 40 countries and ensure all sample collection protocols are followed properly within participating countries.

II. Phase 2 (2015-2018): Receive high volumes of samples from 10-20 countries; generate data on DNA-PROKIDS sample collection and database searches; facilitate interaction between or sharing of databases; and encourage legislation on DNA applications to combat TIP.

III. Phase 3 (2019- on): Operate a centralized database with 20-40 contributing countries; enact mandatory identification of all children given for adoption and all children without known families; and continue program implementation.


Figure 2. DNA-PROKIDS program leadership. Dr. Lorente at UGR originated the program and continues to lead the effort. Drs. Eisenberg and Budowle at UNTCHI provide database expertise and DNA analysis for many countries that lack processing capabilities.

The initial pilot study was conducted in 2008 in collaboration with the National

Forensic Science Institute of Guatemala and the El Salvador police. Efforts in Guatemala and Mexico led to 220 case submissions for DNA analysis, resulting in 93 family reunifications.(Eisenberg & Schade, 2010) The pilot study’s success demonstrated DNA-PROKIDS’ potential to reduce the impact of human trafficking on families.

STATUS OF DNA-‐PROKIDS PROGRAM

As of May 2012, DNA-PROKIDS is collaborating with laboratories in 12 participating countries (see Table 2).(Lorente, 2012) DNA-PROKIDS is focusing its efforts on distributing DNA kits for sample collection, providing training and resources for law enforcement in participating countries, processing samples returned from countries lacking DNA analysis capabilities, developing campaigns to increase awareness and participation among communities, and defining best practices for the establishment of international DNA registries.(Eisenberg & Schade, 2010)


Depending on a country’s capabilities, samples may be processed within a country or returned to UGR or UNTCHI for DNA profile generation and databasing (see Figure 3). Once samples are returned to UGR or UNTCHI, they are analyzed using the same technical equipment and approach as forensic evidence but are stored and administered separately. Samples are analyzed in batches of approximately 20 kits and are treated as reference samples unless they are known to be part of a criminal case. Searches of the DNA-PROKIDS database are blind: analysts are not testing specific trios as child, mother, and alleged father. UNTCHI or UGR lab directors return information on statistical analysis, likelihood ratio or exclusion found during searches directly to designated lab analysis working with law enforcement.(Lorente, 2012)

Figure 3. DNA-PROKIDS workflow. Samples originating in a participating country are collected and sent to UGR or UNTCHI for DNA analysis. The DNA profile is entered in the RD or QD depending on whether the sample is of a family member of a missing person (RD) or a potential TIP victim (QD). Comparison of the two databases for matches or kinship will link DNA profiles from within the same country or between countries. Matches and partial matches are reported to the participating country for investigation. Some countries submit samples from two individuals for a relationship comparison, in which case the profile and report are directly returned to the participating country.

A centralized database has not been developed for DNA-PROKIDS, so profiles are

stored in a local database at UNTCHI or UGR and specimens are stored at the UNTCHI.


There is currently no policy on how and when DNA-PROKIDS will expunge profiles or destroy samples. The UNTCHI applies standardized sample analysis in order to streamline DNA analysis and enhancing comparisons of profiles within and amongst participating countries.(Eisenberg & Schade, 2010)

Cooperating Countries

A country’s law enforcement, forensic institutes, and/or government can begin participating in the DNA-PROKIDS program by establishing an MOU between government authorities in the country and DNA-PROKIDS. MOUs set forth that the country’s law enforcement will be provided the education and resources for DNA sample collection at no charge and that the UNTCHI will serve as a processing facility once samples are received.

Table 2. Countries and Authorities Cooperating with DNA-PROKIDS

Country Collaborating Institution

Bolivia National General Attorney El Salvador National Civil Police Mexico Federal General Attorney

State General Attorney of Baja, California State General Attorney of Chihuahua State General Attorney of Guanajuato

Paraguay National General Attorney Peru National Police Thailand Royal Thai Police

Law Enforcem

ent C

ollaborators

Guatemala National Institute of Forensic Sciences Indonesia Ejkman Institute Malaysia Institut Kimia Malaysia Nepal National Forensic Science Laboratory Philippines University of the Philippines Sri Lanka University of Colombo

Governm

ent and A

cademic

Collaborators

Not yet collaborating, but interest in program: Colombia, Honduras, South Korea, Malaysia, Vietnam


Branching from the pilot, DNA-PROKIDS established its first two partnerships with Guatemala and Mexico in 2006 and 2006, respectively. As of May 2012, DNA-PROKIDS has established MOUs in 12 countries and 5 others have communicated interest in the program (see Table 2).(Lorente, 2012)

DNA-‐PROKIDS Progress and Outcomes

While DNA-PROKIDS does not typically ship more than 200 sample collection kits at a time into countries until collaborating institutions demonstrate that they are regularly collecting samples, DNA-PROKIDS ultimately determines the number of sample collection kits to ship into a participating country based on the individual country’s conditions and needs. After the 2010 earthquake, for example, DNA-PROKIDS recognized the need for proactive efforts against human trafficking. Despite receiving more than $5,000 in resources from DNA-PROKIDS, Haiti has returned very few samples to DNA-PROKIDS for analysis (see Box 1).(Eisenberg & Schade, 2010) DNA-PROKIDS’ experiences in Haiti exposed a key program challenge: allowing collaborating institutions the autonomy to set their pace for sample collection while encouraging efficient resource allocation. Accordingly, DNA-PROKIDS does not halt partnerships with countries that have not begun collecting samples, but preferentially commits resources to partnering countries that are actively participating in DNA-PROKIDS efforts.

Of 10 participating countries, DNA-PROKIDS receives the most samples for analysis from Peru, Paragruay, Bolivia, and Sri Lanka. Those countries that are not currently sending collection kits to DNA-PROKIDS may have the resources to process and analyze the samples or may not have begun samples.(Lorente, 2012) DNA-PROKIDS also receives samples from regions where MOUs have not been signed, such as Nepal and a number of Indian states. To date, there have been 189 cases and 166 accessions for DNA-PROKIDS. Samples have been collected from 79 children, 43 men, and 63 women from Guatemala, South & Central America.

As of April 2012, over 4,200 samples had been processed leading to 588 positive identifications and 218 exclusions.(Lorente, 2012) With these initial investigations, Dr. Lorente reports that 257 illegal adoptions were detected.


Box 1. False Start: DNA-PROKIDS implementation attempt in Haiti

DNA-PROKIDS’ effort in Haiti is a noteworthy example of DNA-PROKIDS program

implementation. DNA-PROKIDS began working with Haitian authorities shortly after the

January 2010 earthquake in Haiti. The displacement of thousands by the earthquake amplified

children’s vulnerability to trafficking and abuse. For example, traffickers took advantage of

post-disaster disorder by offering displaced children food, water, and shelter in order to smuggle

them into the Dominican Republic, where they were forced into slavery, sexual exploitation,

illegal adoption, and organized crime. In response, aid organizations --including DNA-

PROKIDS-- spurred efforts to rapidly identify and protect homeless children. DNA-PROKIDS

provided 6,000 DNA collection kits as well as laptop computers with software for sample

collection and data storage, scanners record information on sample collection cards, and

Polaroid cameras with built-in printers for instant photo documentation.

PROGRAM CHALLENGES AND POLICY GAPS

There are numerous challenges to applying genetic technologies to efforts to prevent and prosecute human trafficking. Because of the program’s international scope, DNA-PROKIDS must be adapted to different countries’ social and cultural attitudes toward genetic technologies, approaches to international border security, and approaches to law enforcement and governance. Furthermore, children and families involved in DNA-PROKIDS may not fully understand the benefits and risks associated with the DNA collection, storage, and profiling. Individuals may believe they are required to provide samples or feel coerced by authorities to participate. It is critical to ensure that DNA-PROKIDS contributors voluntarily consent to provide samples for the database.

Five key program challenges include: 1. Tailoring Memoranda of Understanding and managing international

collaborations 2. Ensuring mission-based use of DNA-PROKIDS resources 3. Identifying approaches to facilitate database security and management 4. Identifying approaches to facilitate profile security and privacy


5. Carrying out education and campaigns to encourage prioritization of anti-TIP efforts among law enforcement and public participation in DNA-PROKIDS efforts.

1. Tailoring Memoranda of Understanding & managing international collaborations.

DNA PROKIDS’ success relies on effective collaborations and strong, well-organized partnerships. MOUs provide opportunities to establish clear expectations and roles for the collaborating parties and help organize and strengthen collaborations. Currently, the DNA-PROKIDS MOUs are written, signed agreements that establish 3-year partnerships between DNA-PROKIDS and participating countries. As such, MOUs can shape DNA-PROKIDS operations and present prime opportunities to guide partnerships. Aiming to create maximum flexibility for DNA-PROKIDS’ work with participating countries, MOUs currently do not set conditions or requirements for ongoing cooperation. Existing MOUs for each country are very similar; the only differences between individual MOUs are based on differences in existing country laws regarding DNA and forensics. DNA-PROKIDS provides greater support and resources to countries regularly returning samples for analysis. As such, tailoring MOUs for individual countries’ goals and needs will likely advance DNA-PROKIDS’ aims. Including additional details for initiating and continuing collaboration with DNA-PROKIDS based on an individual country’s circumstances may motivate active collaboration by clarifying the participating country’s or DNA-PROKIDS expectations, setting achievable, measurable aims, and agreeing upon conditions for ongoing collaboration or early termination of MOUs.

Potential opportunities: • Establish conditions of MOUs in a written agreement that will guide

partnerships between DNA-PROKIDS and participating countries • Specify conditions for ongoing collaboration (such as expected minimum

sample submissions) or early termination of MOU • Identify both short- and long-term goals for partnerships • Tailor achievable goals for individual countries • Enact enforceable safeguards and regular progress assessments to ensure

aims are being met


2. Ensuring mission-based use of DNA-PROKIDS resources. Mission-based use of

DNA-PROKIDS resources is particularly difficult to enforce because DNA-PROKIDS minimizes its regulation of collaborations with the aim of preserving the autonomy of participating countries. A primary obstacle for DNA-PROKIDS is beginning the sample collection process in participating countries. Delays in communication regarding DNA sample collection policy and procedure among local and national governments, law enforcement, collaborating institutions, and DNA-PROKIDS often suspend program implementation in countries that have signed MOUs for weeks or months. Furthermore, criminal networks or corrupt members of government or law enforcement may intentionally obstruct program implementation.(Lorente, 2012) Without any specifications on how DNA-PROKIDS resources may be used and considering the limited public funds allocated for law enforcement, authorities in some countries may use resources intended for investigating TIP for other law enforcement purposes. As a result, in some cases samples may be submitted to DNA-PROKIDS for investigations not related to TIP, such as to confirm or refute family relationships. DNA-PROKIDS sample collection kits require minimal personal information and do not request any information linked with the case. At present, law enforcement from participating countries are not required to gather contextual information on investigations associated with DNA-PROKIDS samples or to document how DNA-PROKIDS resources are used. While this approach is intended to minimize privacy concerns and administrative demands, collecting supplementary contextual information may be useful for case management by the DNA-PROKIDS administrators. Additionally, requesting contextual information may facilitate program assessment and reduce the misuse DNA-PROKIDS resources for non-TIP investigations.

Potential opportunities: • Request documentation of investigations associated with submitted cases • Encourage law enforcement or governments in countries to maintain records

of the number, types, and uses of DNA database searches.


3. Identifying approaches to facilitate database security and management. In some instances, barriers, such as customs inspections, have delayed or blocked shipment and delivery of sample collection kits across international borders. Customs and border control have impeded the delivery of many sample collection kits to in-country collaborating institutions and law enforcement and transfer of collected kits back to DNA-PROKIDS laboratories. To deliver kits efficiently to cooperating countries, DNA-PROKIDS has hand-delivered many sample collection kits. DNA-PROKIDS’ experience indicates that shipments must be documented precisely in order to avoid delays and interferences. For example, collection kits should be described as “relatedness kits” and words including “reagents,” “testing collection devices,” “biological samples,” should be avoided. DNA-PROKIDS tracks when and to where sample collection kits are shipped. Because countries do not notify DNA-PROKIDS when they return samples for analysis, however, DNA-PROKIDS has not been able to monitor how many countries are returning samples and, of these samples, how many shipments are being delayed or blocked by customs or because of other problems with delivery.

Potential opportunities: • Identify approaches to ensure that kits are shipped and delivered without

delay by customs and that samples are successfully returned • Systemize sample delivery and shipment through customs

4. Identifying approaches to facilitate profile security and privacy. Current DNA-

PROKIDS policies do not establish a standardized workflow for sample collection and shipment, sample processing, and database searches across collaborating countries. Samples are usually analyzed in batches and are treated as reference samples, unless they are known to be part of a criminal case. As DNA-PROKIDS expands, analysts at the UNTCHI and UGR will manage a growing number of sample submissions. Currently, DNA-PROKIDS restricts who can access information on DNA-PROKIDS samples and safeguards release of confidential information based on Spanish and US legislation as well as internal policies at UNTCHI and UGR. In order to ensure organized and efficient management of sample analysis and profiling, protocols could establish a standard approach to


profile storage, designate responsibilities to individual analysts, and propose a target timeline for processing samples. DNA-PROKIDS protocol could also standardize who is authorized to request a search and who is authorized to receive information on search matches. DNA-PROKIDS does not provide guidelines on sample and profile storage. It is important for the leadership to establish whether some profiles can be expunged automatically and how individuals may request that their profiles be expunged. Finally, DNA-PROKIDS may eventually consider conducting searches across databases from different countries. As DNA-PROKIDS grows, it may become necessary to establish a standard approach to approving and conducting international DNA database searches. More importantly, the parameters for storing profiles and searching across international databases must be considered. The establishment of a central database would simplify the processes, but authority for such a database of international import may be difficult to establish and/or justify. A network of databases amongst cooperating countries could suffice, but parameters for searching and access to such an infrastructure will need to be carefully established.

Potential opportunities: • Develop a secure non-governmental reference database • Institute workflow for sample analysis and database searches within DNA-

PROKIDS and cooperating countries • Identify procedures and conditions for international database searches • Determine conditions and procedures for profile expungement

5. Carrying out education and campaigns to encourage prioritization of anti-TIP

efforts within countries and public participation in DNA-PROKIDS efforts. The social, economic, and political contexts of participating countries present inherent challenges to DNA-PROKIDS program implementation. In many countries where TIP is prevalent, emergency aid, provision of food and shelter, poverty alleviation, controlling drug crime and homicide, and managing political instability often are regarded as more urgent needs than fighting human trafficking. As a result, it can be difficult to engage government and law enforcement in collecting DNA samples for anti-TIP efforts. This may be exacerbated in times of disaster, when one major event


may cause multiple infrastructures to collapse in a “cascade effect.” This cascade effect may explain the obstacles Haiti, where DNA-PROKIDS’ efforts generated few results. Database development also requires spreading awareness about the DNA-PROKIDS program and encouraging community members to come forward with cases. Communities may hold different attitudes toward DNA sample collection and profiling. Some countries may differ in cultural and social perspectives on DNA collection, storage, and use by law enforcement.(Kaufman et al., 2009) For example, some countries may differ in their privacy concerns regarding DNA sample submission and fear of retribution for reporting suspicions or evidence of ongoing crimes. Policies will need to be tailored individual countries' cultural perspectives and there are several options for adapting initiatives for public education and awareness. To address public fears and encourage community participation, DNA-PROKIDS may institute public education campaigns and utilize existing partnerships with law enforcement and the community. Research and education in individual countries are needed to inform this delineation.

Potential opportunities: • Conduct research to understand attitudes toward genetic applications to fight

TIP • Initiate partnerships with international NGOs to build awareness and

motivate cooperation with DNA-PROKIDS • Implement measures to address public concerns tailored into individual

communities

Future Directions

As the DNA-PROKIDS program develops, it will be important to implement a sustainable, reliable, and secure system. Towards this end, the program must:

• Specify conditions of collaboration • Identify the appropriate administration and uses of DNA databases • Establish guidelines for sample processing and profile searching • Encourage public participation and study public perspectives • Ensure effective transfer of materials and communication


As this effort moves forward, DNA-PROKIDS intends to expand the program to additional regions affected by human trafficking. Simultaneously, DNA-PROKIDS should develop further its approach in individual countries to ensure clear communication and effective cooperation, adapted to each country’s needs and capabilities. Further, DNA-PROKIDS may focus on particular regions where TIP is prevalent in order to develop model policies as their program expands. Ultimately, implementation of the DNA-PROKIDS program in individual countries could evolve into either a centralized international DNA database or a network of autonomous databases used to deter human trafficking and facilitate TIP investigations both within and across national jurisdictions.


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