GENERATING FORENSIC DNA PROFILES FROM ‘CONTACT’ DNA ON CARTRIDGE CASES AND GUN GRIPS Lisa Branch B.A., University of California at Santa Barbara, 2002 THESIS Submitted in partial satisfaction of the requirements for the degree of MASTER OF SCIENCE in BIOLOGICAL SCIENCES (Molecular and Cellular Biology) at CALIFORNIA STATE UNIVERSITY, SACRAMENTO SPRING 2010 © 2010 Lisa Branch ALL RIGHTS RESERVED ii GENERATING FORENSIC DNA PROFILES FROM ‘CONTACT’ DNA ON CARTRIDGE CASES AND GUN GRIPS A Thesis by Lisa Branch Approved by: __________________________________, Committee Chair Dr. Ruth Ballard __________________________________, Second Reader Dr. Brett Holland __________________________________, Third Reader Dr. Nicholas Ewing Date:____________________ iii Student: Lisa Branch I certify that this student has met the requirements for format contained in the University format manual, and that this thesis is suitable for shelving in the Library and credit is to be awarded for the thesis. ___________________________, Graduate Coordinator Dr. James W. Baxter Department of Biological Sciences iv ____________ Date Abstract of GENERATING FORENSIC DNA PROFILES FROM ‘CONTACT’ DNA ON CARTRIDGE CASES AND GUN GRIPS by Lisa Branch Advances in DNA typing methods have enabled forensic scientists to obtain genetic profiles from cells shed onto objects that have been touched or handled. This type of DNA is called “contact DNA,” and crime labs are currently receiving many requests from attorneys and investigators to try to find it on crime scene evidence and analyze it. Cartridge cases and firearms are common types of evidence recovered from crime scenes and are potential sources of contact DNA because criminals may handle cartridges or gun grips directly, without gloves. As a result, analysts are often asked to swab cartridge cases and gun grips for contact DNA when examining evidence from crime scenes where firearms were used. DNA typing is expensive and time consuming, and many crime labs are backlogged with unsolved cases. Moreover, many analysts report that, in their experience, fired cartridge cases are a very poor source of DNA and that it is probably a v waste of time and money to test them. Therefore, a comprehensive study of the factors that affect the deposition of contact DNA on ammunition and guns, and the types of cartridges and gun grips that are most likely to generate useful genetic information, is badly needed. This project examined whether it is possible to generate human DNA profiles from fired and unfired cartridge cases, and from gun grips, under varying conditions relevant to forensic casework Seven common cartridge cases were examined, including 0.22 caliber brass cases, 0.38 caliber brass, aluminum and nickel cases; and 9mm brass, steel, aluminum and nickel cases. Gun grips made of wood, plastic and rubber, with either textured or smooth surfaces, were also sampled. In addition, two other variables were studied: (1) whether the length of time between hand washing and handling affects the amount of DNA shed onto a case or grip, and (2) whether the amount of time the person handles a case or grip affects DNA shedding. The Applied Biosystems AmpFℓSTR Minifiler™ system was used to genotype all of the samples. While it is less informative than the more widely used AmpFℓSTR Identifiler™ system, it is more sensitive. However, samples producing Minifiler™ profiles with 6 or more alleles and containing at least 0.1 ng of DNA were also genotyped with Identifiler™ to see if more genetic information could be obtained. A total of 690 swabs were collected and analyzed, 590 for the cartridge case studies and 150 for the gun grips studies. Of these, 51 samples were contaminated with DNA from the examiner or another source and were excluded from downstream analyses. Therefore, results are reported for only 501 cartridge cases and 138 gun grips. vi The DNA from the samples was extracted on the BioRobot® EZ1 using the trace protocol, amplified with ABI AmpFℓSTR Minifiler™ kits, and genotyped on a 3130 Prism® xl genetic analyzer. Only profiles containing alleles above a minimum threshold of 75 RFUs were included in the evaluation of a profile. Samples with alleles present at all loci were designated as “full profiles” since, during casework involving an unknown donor, they could be interpreted by an analyst as containing all of the donor’s alleles. Samples with at least one allele observed at any of the loci were designated as having “partial profiles,” and samples with no alleles were designated as having “no profile.” Overall, 135 of the 639 non-contaminated samples yielded “full” or “partial” profiles with Minifiler™, 63 from the cartridge cases and 72 from the gun grips. Of the samples that also underwent additional AmpFℓSTR Identifiler™ typing, 24 produced profiles. One “full profile” was produced from a cartridge case and six “full profiles” were produced from gun grips. In addition, four “partial profiles” were produced from the cartridge cases and 14 were produced from the gun grips. The caliber of the cartridge, the material from which it was made, and the length of time it was handled did not affect DNA recovery. Similarly, the material and texture of the gun grip and the length of time it was handled did not alter DNA yields. However, cartridge cases and grips that were handled one hour after donors washed their hands yielded significantly more DNA than cases and grips handled immediately after hand washing. In addition, unfired cases yielded significantly more DNA than fired cases, and gun grips yielded significantly more DNA than cartridge cases. vii After the genotyping was complete, all “full profiles” and “partial profiles” were compared to the donor’s known profile to detect allelic drop out. While partial allelic drop out is common in contact DNA profiles analyzed by Identifiler™, the second allele can usually be detected on the electropherogram below the stochastic threshold but above background. Therefore, the second allele can be used for inclusionary or exclusionary purposes. However, 58 of the 135 Minifiler™ profiles exhibited the complete drop out of an allele at one or more heterozygous loci. This presents a challenge because, if a contact DNA sample is from an unknown source, its Minifiler™ profile could be interpreted incorrectly and potentially mislead an investigation. The fact that 7.2% of the Minifiler™ profiles in this study exhibited contamination only serves to exacerbate the problem. Therefore, although Minifiler™ has the advantage of being more sensitive than Identifiler™, analysts should carefully weigh the need for sensitivity against the possibility of increased contamination and the complete drop out of some alleles. In some instances, Minifiler™ may be the best choice for obtaining genetic information from a contact DNA sample. However, it is critical that forensic DNA analysts understand the limitations of the system and interpret their results with caution. This study provides a wealth of information about the factors that may influence DNA recovery from cartridge cases and gun grips and should provide the forensics community with empirical support for accepting or denying requests for contact DNA analyses. In particular, this study indicates that trying to obtain genetic information from fired cartridge cases is probably not worth the time and expense involved. Investigations viii would be better served by developing new methods for generating such profiles or by focusing on evidence that is likely to be more probative. __________________________________, Committee Chair Dr. Ruth Ballard ____________________ Date ix ACKNOWLEDGEMENTS I would like to thank all the members of my committee (Dr. Brett Holland and Dr, Nick Ewing), and specifically Dr. Ruth Ballard for helping me through the ebbs and flows of this project. Also Dr. Jamie Kneitel for helping out with the statistics performed during this research. I would also like to thank Mary Hansen for giving me the opportunity to be part of the Sacramento County District Attorney’s Office Laboratory of Forensic Services and helping me through out this project, she has been a rock. Also all the members of the DNA/Serology section of the laboratory (Jeff Herbert, Michelle Chao, Angel Shaw, Ryan Nickel, Nikki Sewell, Ann Murphy , Dolores Dallosta, Kristie Abbot, Kristin Bejarano, Gerald Arase and Joy Viray, they taught me everything I needed to know in order to complete this project and a number of friendships have been formed from this experience. Also members of the Firearms section (Phil Hess, Cara Gomes and Mike Saggs) of the laboratory, without them it would have been difficult. Also, Dr. Anglim, who, provided tremendous help throughout the project. Last, I would like to thank my family and friends for putting up with me during these last two years, especially my Mom for always supporting me and believing in me. x TABLE OF CONTENTS Page Acknowledgements ..............................................................................................................x List of Tables .................................................................................................................... xii List of Figures .................................................................................................................. xiii Introduction ..........................................................................................................................1 Materials/Methods .............................................................................................................26 Validation of the BioRobot®EZ1 ..........................................................................26 Recovery of Contact DNA from Cartridge Cases and Gun Grips .........................34 Results ................................................................................................................................43 Discussion ..........................................................................................................................79 Appendix A: Protocols from the Sacramento District Attorney’s Office, Laboratory ......88 Of Forensic Services for DNA extraction, quantitation and amplification Appendix B: Permission to use figures from Applied Biosystems and Elvesier ...............93 Literature Cited ..................................................................................................................95 xi LIST OF TABLES Page Table 1. Fabrics for inhibition study .................................................................................33 Table 2. Substrates containing PCR inhibitors .................................................................53 Table 3. Mean DNA yields & genotyping success of saliva stains on cigar paper ...................................................................................................................55 Table 4. DNA shed onto .22 caliber brass cases by 10 volunteers. ..................................57 xii LIST OF FIGURES Page Figure 1. Revolver and semi automatic pistol .....................................................................2 Figure 2. Firing pin impressions and ejector marks ............................................................4 Figure 3. Photos of common grip types ..............................................................................5 Figure 4. Qiagen BioRobot®EZ1 .......................................................................................9 Figure 5. Schematic illustration of the strand slippage mechanism..................................15 Figure 6. Shortening of miniSTR primers ........................................................................18 Figure 7. Comparison of Identifiler™ and Minifiler™ ....................................................19 Figure 8. Electropherogram of Minifiler allelic ladder .....................................................20 Figure 9. Arrangement for samples in the contamination study .......................................32 Figure 10. Flow chart for collection of samples for Phase 1 of Part 2 .............................38 Figure 11. Histogram of DNA yields for saliva samples ..................................................44 Figure 12. Histogram of DNA yields for blood samples ..................................................45 Figure 13. Histogram of mean DNA yields for 50 µL of semen samples ........................47 Figure 14. Histogram of DNA yields for hair samples .....................................................48 Figure 15. Histogram of DNA yields for 50 µL of urine ..................................................50 Figure 16. Histogram of DNA yields for 200 µL of urine ................................................51 Figure 17. Comparison of organic and EZ1 DNA extraction methods ............................56 Figure 18. Histogram of percent of samples for caliber type ..........................................60 Figure 19. Histogram of percent of fired vs. unfired cases ...............................................61 xiii Figure 20. Histogram of percent of samples for handling time-cartridge cases................................................................................................................63 Figure 21. Histogram for percent of samples for case material ........................................65 Figure 22. Histogram for percent of samples for hand washing timecartridge cases ................................................................................................67 Figure 23. Effect of gun grip material on % of full, partial and no profile.......................70 Figure 24. Effect of handling time on the % of full, partial and no profiles from gun grips ................................................................................................71 Figure 25. Percent of gun grips for which no profile, a partial profile or full profile for hand washing ..........................................................................74 Figure 26. Flow chart comparing the results obtained from the gun grip and cartridge case studies ...............................................................................77 Figure 27. Full profile at 75 RFUs or greater no allelic dropout ......................................86 Figure 28. Profile with allelic drop-out.............................................................................87 xiv xv 1 INTRODUCTION In 2006, almost fifteen thousand homicides occurred in the United States and over seven thousand of these homicides involved handguns (Bureau of Justice Statistics 2007). Since the 1970’s, gunshot wounds have been the leading cause of death by homicide in the United States and despite the best efforts of law enforcement agencies and prosecutors, thirty five percent of these homicides remain unsolved (Federal Bureau of Investigation, 2006). Therefore, it is of great importance to develop new methods and techniques to analyze evidence recovered from crime scenes in which firearms were used. Handguns are especially of interest because they are the most common firearms involved in homicides. Potential evidence in these cases includes unfired cases, cartridge cases that are ejected after the gun is fired, and the firearms themselves. A cartridge contains a projectile or bullet, the primer (a small explosive charge in the base of the case which is used to set off the propellant powder when hit by the firing pin) and the case, which holds these elements together (Fisher, 2000). When a subject loads a firearm, their hand(s) and finger(s) can come into contact with the case. The cartridge is then either loaded directly into the firearm, where the case remains after the bullet is fired (revolvers) [Figure 1A] or into a detachable magazine, from which the empty case is ejected after firing (pistols) [Figure 1B]. When fired from a pistol, cartridge cases are often left behind at crime scenes and are retrieved by investigators to determine critical information about the firearm and, in some instances, the shooter. 2 A B Figure 1—A: Revolver. B: Semi automatic pistol. (Photos courtesy of the Sacramento County District Attorney’s Office Laboratory of Forensic Services, Firearms unit) 3 Sources of information include rifling marks, firing pin impressions, ejector marks [Figure 2A], breech face marks [Figure 2B], chamber marks, and latent fingerprints (Schehl 2000, Given, 1976, Migron, et al. 1998). The most common types of cartridge cases found at crime scenes are .22, .38, .45 and 9 mm in caliber and are made of brass, aluminum, nickel and steel (only made for 9 mm). Gun grips can be a potential source of evidence if the firearm is left behind at a crime scene. Gun grips vary in composition and can be made of wood, plastic and rubber and have either textured or smooth surfaces [Figure 3]. DNA analysis of firearm-related evidence appeals to law enforcement agencies and investigators because it is a highly sensitive and informative analysis that has the potential to link the suspect to the firearm more successfully than fingerprint analysis alone. Cells (e.g. epithelial cells from the mouth and skin) contain DNA that can be retrieved from almost any surface, whereas fingerprints must be deposited on relatively hard, smooth surfaces in order to be useful in an investigation. Recent studies have demonstrated that DNA profiles can be generated from objects that have simply been touched by an individual (known as ‘contact’ DNA). Cartridge cases and firearms are common types of evidence found at crime scenes and are potential sources of ‘contact’ DNA. It may be possible to retrieve sufficient quantities of DNA from these surfaces for analysis. 4 A B Figure 2—A: Firing pin impression and ejector marks. B: Breechface impression. (Photos courtesy of Phil Hess, Sacramento County District Attorney’s Office Laboratory of Forensic Services, Firearms unit). 5 T Figure 3- Photos of some of the most common types of gun grips. A. Smooth-plastic. B. Smooth wood. C. Rubber. D. Plastic checkered. (Photos courtesy of Lisa Branch). 6 The goal of this research was to test gun grips and fired and unfired cartridge cases to determine how DNA can be retrieved from them and if the amount is sufficient to provide probative information in a crime scene investigation. This type of evidence is routinely submitted to forensic laboratories by law enforcement agencies. Validation of the BioRobot®EZ1 Prior to beginning the cartridge case and gun grip study, I assisted the laboratory in the validation of the BioRobot®EZ1 extraction system, an automated extraction platform that reduces DNA extraction times from many hours to 30 minutes. Crime laboratories are required to conduct internal validation studies on each method employed in DNA analysis prior to implementation of the method in casework. The validation was conducted in accordance with the Quality Assurance standards for forensic DNA Testing Laboratories, issued by the F.B.I. director, issue date 07/04, Rev. 6 (42 Code of Federal Regulations n.d., American National Standards Institute 1990, Technical Working Group on DNA Analysis Methods 1995, Federal Bureau of Investigation DNA Advisory Board C 1998 Federal Bureau of Investigation DNA Advisory Board. 1999, (American Society of Crime Laboratory Directors/Laboratory Accrediation Board 2003). These studies allow laboratories to check the reliability, reproducibility, sensitivity and limitations of the methods. Since the information obtained from my project was going to be used by the Sacramento County District Attorney’s Crime Laboratory to aid in their evaluation of performing DNA analysis on samples collected from unfired and fired cartridge cases and 7 gun grips, validation of the BioRobot®EZ1 extraction system was required. My portion of the validation involved optimization of analytical procedures using standard samples (blood, saliva, hair and urine) to determine the efficiency of DNA recovery using the BioRobot®EZ1, comparing DNA yields obtained from the BioRobot®EZ1 to those obtained from the organic extraction method utilized by the laboratory, evaluating the capability of the BioRobot®EZ1 in removing PCR inhibitors (dyes) from samples, and verifying that sample-to-sample contamination did not occur. Extraction of ‘contact’ DNA samples using the BioRobot®EZ1 were performed separately as part of the validation of the Minifiler™ system. The most critical step of the analysis is the extraction of the DNA from forensic evidence samples: blood, saliva, urine, hair and semen (Montpetit, Fitch and O'Donnell 2005). The cells of interest to forensic scientists (nucleated cells) contain other substances besides DNA such as, proteins, carbohydrates, lipids, etc. Therefore, the DNA molecules must be separated from this cellular material before it can be further examined (J. M. Butler 2002). The most common technique employed is the phenolchloroform method (the organic method). This method involves a detergent-mediated cell lysis (rupturing the cell and exposing the DNA) and proteinase K treatment (to break down the proteins). Once the cell has been lysed, phenol-chloroform is used in multiple washes to separate proteins from DNA by creating an upper aqueous phase (containing the DNA) and a lower organic phase (containing the proteins and lipids). The organic extraction method is well suited for forensic samples because of the high recovery rate 8 and the purity of the DNA recovered. However, it requires multiple steps which can lead to contamination and/or loss of sample. It is also time consuming and does not remove all PCR inhibitors (J. M. Butler, 2002; Montpetit, Fitch and O'Donnell, 2005). Automated systems for DNA extraction have proven to be extremely useful, especially when processing reference samples (samples of known origin that contain ample amounts of DNA). Automated extraction is much faster - approximately thirty minutes for completion compared to the longer time required for organic extraction (one to one half days). With automated systems there are less manipulations of the sample and no organic solvents are used. In the context of the laboratory, the absence of organic solvents makes the process safer for the person performing the extraction and the automation allows for faster extraction. Automated extraction methods use solid-phase extraction, compared to liquid-phase extraction, which is used in the organic extraction. Liquid-phase extraction requires multiple manipulations, requires organic solvents and is harder to automate, whereas solid-phase extraction is much easier to automate and does not require organic solvents. The Qiagen Corporation developed an automated DNA extraction method, the BioRobot® EZ1 workstation [Figure 4]. This system can purify high quality DNA from up to six samples in approximately thirty minutes. The BioRobot® EZ1 workstation extracts DNA by magnetic bead particle technology. The DNA sample is isolated in one step by binding to silica beads. The process involves lysis of the sample, addition of magnetic beads to the sample, and binding of the DNA to the particles. The DNA 9 Figure 4. The Qiagen BioRobot® EZ1 (photo courtesy of Lisa Branch). 10 purification is done using a chaotropic extraction with paramagnetic silica beads. The chaotropic agents, guanidine thiocyanate (GuSCN)/guanidine hydrochloride (GuHCl), denature proteins, inhibit nucleases and promote the binding of the DNA to the magnetic silica beads by breaking the weak hydrogen bonds, in water, which destroys the hydration shell around the DNA and exposes the negatively charged backbone. The exposed backbone can then adhere tightly to the positively charged magnetic silica beads. A magnet is used to separate the particles from the lysate. The DNA is then washed and eluted (J. M. Butler, 2002; Montpetit, Fitch and O'Donnell, 2005; (Anslinger et al., 2005; Kishore et al., 2006). One single barrier pipette tip is used for the entire DNA extraction and all washes, which minimizes contamination via multiple tube switches. Contact DNA Study The History of DNA Typing In the mid 1980’s, human DNA identification typing was first described by English geneticist, Alec Jeffreys. He identified certain regions of the human genome that contained sequences that are tandemly repeated and found that the number of repeats differs from one individual to another (Jeffreys, Wilson and Thein 1985). These repetitive units, variable number tandem repeats (VNTRs), have repeat units that vary in size from 10-100 base pairs. It is estimated that there are thousands of VNTR loci located in the human genome, providing a rich source of genetic variability (Siegal, Saukko, & Knupfer, 2000) 11 Restriction fragment length polymorphism (RFLP) analysis technology utilized restriction enzymes that cleave the DNA around these repeated sequences. Once the DNA fragments were cut, they were separated by size using polyacrylamide gel electrophoresis and denatured in an alkali solution in order to separate the DNA strands. Probes (specific DNA sequences) that hybridize with one or more of the digested DNA samples were labeled with a radioactive isotope and, after hybridization, were viewed using autoradiography. RFLP testing began as multi-locus probes that recognized multiple nucleotide sequences on multiple chromosomes. However, these probes were difficult to interpret if samples contained more than one source of DNA, such as a male and a female source, as occurs in most rape evidence samples (Siegal, Saukko, & Knupfer, 2000). These samples also required a large amount of sample DNA. To overcome these limitations, Jeffrey’s created single locus probes, which bind to a single location on a single chromosome. Single locus probes required less DNA than the multilocus probes method. The RFLP technology was the first accepted forensic DNA analysis method in the United States; however, it had several important limitations. It required at least 50 nanograms of DNA (1 ug was optimal), it could not be used on samples compromised by age or enviromental exposure and it was time consuming and laborious (Siegal, Saukko, & Knupfer, 2000). Therefore, it was rarely used for forensic casework because very few pieces of crime scene evidence contained enough good quality DNA for a robust VNTR analysis. While Jeffreys was developing the RFLP technology, the polymerase chain reaction (PCR) was developed in the United States. PCR makes millions of copies of 12 short, targeted regions of DNA. At the end of one PCR cycle, two copies of the original template have been made and as the number of PCR cycles increases, exponential copies of template DNA are generated. PCR is better suited for forensic analysis because it requires a much smaller amount of sample for amplification (~1 ng), and is an easier process to automate. It was quickly adopted by the forensic community as an alternative to RFLP typing. The first PCR test used in forensics was HLA-DQα (DQA1), a human leukocyte antigen locus. This system included eight alleles and single-stranded, labeled probes for PCR, which were used to detect each of these different alleles (Siegal, Saukko and Knupfer, 2000). It was an informative test and could be used on trace and/or degraded samples, but it lacked the discriminatory power of RFLP typing. In approximately 16% of cases, the victim and suspect could have the same DQA1 genotype. Commerical kits were developed and, eventually, expanded to included an additional set of five markers (low density lipoprotein receptor (LDLR), glyphorin A (GYPA), hemoglobin G gammaglobin (HBGG), DS78, and group specific component (Gc)) collectively called Polymarker (PM). The DQA1-PM kit, marketed by Applied Biosystems, was the first example of a multiplex PCR kit, in which all six marker systems were amplified in a single PCR reaction. However, even with the additional markers, it was still far less discrimnatory afford than RFLP technology (Siegal, Saukko and Knupfer 2000). Therefore, there was a need for the development of a more informative PCR-based system, with more genetic markers with a higher discrimination potential. 13 Short Tandem Repeats The human genome is comprised of three billion basepairs of DNA, 90% of which are non-coding regions that do not contain genes that code for proteins; while 3% of these regions consist of STRs (Schneider, 1997, Fan and Chu, 2007). STRs, or microsatellites, are smaller version of VNTRs that can be amplified by PCR and maintain their high level of discriminatory power. STRs are short repeated sequences, with a repeat unit of only 3-5 bps and a total amplicon length of less than 500 base pairs. These polymorphic markers are commonly found throughout the non-coding regions of the DNA and do not reveal information about genetic traits or predisposition for genetic diseases (Butler, 2002, Schneider, 1997). STRs are highly variable for two reasons. First, these regions are non-coding and are not subjected to selective pressures during evolution. Coding portions of the human genome, i.e. expressed genes, are subject to selection pressures during evolution in order to maintain their specific function, so variation, as a result of mutations, between individuals is rather limited (Schneider 1997). In contrast, mutations in these non-coding regions are usually retained and passed to offspring creating high genetic variability. Second, they are mutation ‘hotspots’ because they mutate more quickly than other regions of the genome. Mutations in STRs can occur via strand slippage during DNA replication (Fan and Chu 2007, Levinson and Gutman 1997). This mechanism involves alteration of repeat sequences or slippage on the two complementary strands of the double helix, leading to an incorrect pairing of repeats, causing deletions or insertions in the DNA. These occur by the formation of an unpaired hairpin loop. The hairpin loops 14 are often more stable than the original structure, increasing the probability of expansion and deletion (Petruska, Hartenstine and Goodman 1998). When a mutational change occurs, a new repeat unit is created from the nascent (new) strand which can potentially expand these further. A deletion is created when slippage occurs on the template strand (Levinson and Gutman 1997) [Figure 5]. Most of these hairpin loops are recognized and repaired by the mismatch repair system, but for those that do not get repaired, new STR alleles are created (Fan and Chu 2007). The difference in the number of repeats present at any given locus on the chromosome is what makes STRs unique. STRs are classified by the different repeat units, such as mono-, di-, tri-, tetra-, penta- and hexanucleotides (Fan and Chu 2007). As tetranucleotide repeats, such as ‘gata’ (the STR locus D7S820 located on chromosome 7), are less likely to undergo mutations during PCR and contain less PCR stutter products (minor fragments (artifacts of PCR) that differ in size than the major allele usually by one repeat unit) compared to shorter repeat units, they are more popular for forensic uses (Montpetit, Fitch and O'Donnell 2005). One key advantage of STRs over VNTRs is they can be amplified by PCR. STRs also require only 1 ng of DNA as opposed to the 50 ng required by RFLP analysis (Wickenheiser 2002). These new STR loci offer high discriminatory power and the STR markers allow for identification of individuals. 15 Figure 5--Schematic illustration of the strand slippage mechanism (Fan and Chu 2007, copyright permission from Elvesier, Appendix B) 16 Identifiler™ and Minifiler™-STR Systems The Applied Biosystems AmpFℓSTR® Identifiler™ kit, released in 2001, amplifies 15 human specific STR markers plus the gender marker amelogenin in a single reaction. Commercial kits like Identifiler™ have amplicon sizes that usually range from 100 to 500 base pairs. In these kits, each primer is fluorescently labeled with a dye which is attached to the 5′ end of the PCR primer and is detected by passing through a light source scanner that detects the spectrum of light from the different fluorophores. This is done via gel capillary electrophoresis, which separates the DNA fragments by size. Results obtained from kits are seen on an electropherogram. An electropherogram contains a y-axis, which measures the relative fluorescent units (RFUs, a measurement of the amount of emitted light that has passed through a laser) and an x-axis, which measures time or size of the DNA. While Identifiler™ works well on a majority of samples encountered in criminal cases, it may not produce full human genetic profiles on compromised samples. Such samples occur if DNA is exposed to destructive elements, such as UV or heat, or if the samples have been exposed to environmental contaminants, such as soils. These elements have the possibility of inhibiting the PCR process (Butler, Shen and McCord 2003) (Grubwieser, et al. 2006). In these samples there is a potential loss of signal in the larger-sized STR products, due to fragmented DNA molecules or PCR inhibitors present in the sample (Chung et al., 2004; Grubwieser, et al. 2006; Hill et al., 2007). This loss of signal is referred to as allelic dropout and can result in a failure to amplify one or both of the individual’s alleles at a 17 locus, which in turn can result in the generation of a partial genetic profile or potentially no DNA profile at all. This creates a ‘decay curve’ in commercial kits, like Identifiler™, where the peak height is inversely proportional to the amplicon length (Chung et al., 2004). If there is a low level of DNA, it is likely that one allele may, by chance, be amplified more than the other. In samples with low DNA quantities, allelic drop out can be greater than 50% (Miller et al., 2002). Therefore, Identifiler™ may not work on degraded DNA samples. A solution to this problem is to reduce the size of the amplicons targeted for PCR, by moving the primers as close to the STR repeat as possible (Chung et al., 2004; Opel et al., 2006) [Figure 6.]. These smaller STRs, using reduced primers to create smaller amplicons, are called miniSTRs (Wiegand and Kleiber, 2004) [Figure 7]. These miniSTRs allow for a reduction in product size down to < 299 base pairs, with most amplicon reductions ranging from 60-200 base pairs (Chung, et al. 2004). Applied Biosystems employed this mechanism for the PCR system, AmpFℓSTR® Minifiler™ using nine STR loci. Minifier™ reduces the amplicon size of only the largest eight STR loci in the Identifiler™ PCR Amplification kit, as the remainder of the STR loci in Identifiler™ contain smaller amplicons (D7S820, D13S317, D16S539, D21S11, D2S1338, D18S51, CSF1PO, FGA and amelogenin) [Figure 8]. Wiegnad and Kleiber (2004) reported that using the miniSTRs in PCR amplification can produce full genetic profiles at those loci in degraded DNA samples. 18 Figure 6. Picture depicting the shortening of the miniSTR primers compared to the conventional PCR primer system (Applied Biosystems, 2008, copyright permission granted see Appendix B). 19 Figure 7- A comparison of Applied Biosystems Identifiler™ and Minifiler™ amplicon sizes in their corresponding fluorescent colors along with a corresponding size standard (shown in orange) (J. Butler 1997). 20 Figure 8—An electropherogram of the allelic ladder of AmpFℓSTR® Minifiler™. (http://www3.appliedbiosystems.com/cms/groups/applied_markets_marketing/documents/gen eraldocuments/cms_039944.pdf, accessed November 11, 2007). 21 The MiniFiler™ primer sets have been shown to fully provide highly concordant results to the commercial kits, like Identifiler™, and can also provide improved detection of degraded DNA (Wiegand and Kleiber 2004, Butler, Shen and McCord 2003). For example, in one study Opel et al. (2006) took naturally degraded DNA from human skeletal remains and performed PCR amplification. The miniSTRs had a greater chance of producing full genetic profiles from degraded DNA (64%) when compared to other commercial kits (16%). Minifiler™ provides a more sensitive technology that can be utilized for the determination of DNA profiles when only partial or no genetic profiles are generated from standard amplification kits because of the effects of DNA degradation. Cartridge cases and gun grips contain low quantities of DNA and amplifying with Minifiler™ might make it possible to produce a human genetic DNA profile from these samples or improve detection of DNA in these samples ‘Contact’ DNA ‘Contact’ DNA, also known as trace DNA or ‘touch’ DNA, is minute amounts of DNA transferred through skin contact to an object or surface (Wickenheiser 2002). Contact DNA occurs in relatively low amounts, usually less than 100 picograms (Findlay et al., 1997, Van Hoofstat et al., 1998, Migron et al., 1998). Contact DNA typing and the ability to yield DNA profiles from less than 100 picograms may be possible due to the improved sensitivity of existing techniques (Minifiler™), as well as to the development of new technologies, such as automated extraction processes (Lowe et al., 2002). 22 Skin is the largest organ in the body and humans shed approximately 400,000 skins cells daily. Epithelial cells, as found in skin, are some of the fastest regenerating cells in the human body. When skin cells have reached the outermost layer, the stratum corneum, the dead skin (non-nucleated) cells are sloughed off. The skin matrix contains sebaceous oil glands and sweat glands. Secretions and nucleated cells from these glands are brought to the surface of the skin via the ducts and pores and create a potential source of DNA (Schiffer et al., 2005, Wickenheiser, 2002). The fingers or hands, acting as a vector, have the capability of transferring the cells/DNA as well as transmission of nucleated cells from the eyes and mouth, to objects that have been handled, such as knives, cartridge cases, rope, etc. (Wickenheiser 2002). Given the improved detection technology, and the fact that researchers have been able to generate human DNA profiles from the mere contact between an object and an individual, it has recently been suggested that contact DNA might be present on gun grips and cartridge cases, as a result of the individual handling the evidence prior to firing. While it is likely that DNA which has been deposited onto the cartridge case before firing has been destroyed via the heat and pressure inside the chamber of the gun, several studies still report the use of contact DNA to generate human identification DNA profiles. Studies have shown that it is possible to recover DNA from items such as exploded pipe bombs, hammers and chisels (Van Hoofstat, et al. 1998, Esslinger, et al. 2004). Esslinger, et al. (2004) were able to report one full profile and three partial profiles from twenty-seven, 1-inch diameter, exloded pipe bombs. A full reportable genetic profile for this study was declared if all ten loci examined had alleles with RFU 23 values between 150 and 4500, while a partial profile was declared when at least three STR loci had alleles with RFU values between 150 and 4500. This study demonstrates that it is possible to obtain usable genetic profiles from materials that have been exposed to extreme heat (Esslinger, et al. 2004). Polley, et al., (2006) conducted a study examining the recovery of DNA from various locations on the firearm as well as recovery from fired and unfired cartridge cases. They reported one fired cartridge case from a .45 pistol, when examined using Identifiler™, yielded peaks at the amelogenin locus only. However they did recover DNA from gun grips that generated sufficient quantities of DNA for further DNA analysis using Identifiler™. These researchers determined that there is less contact DNA present on unfired cases and fired cases when compared to gun grips. It is more probable to recover DNA from items that have a larger, textured surface area, such as gun grips, knife handles, etc. (Polley, et al. 2006). At this time, no reports describing experiments in which full DNA profiles have been recovered from fired cartridge cases using traditional methods exist. Nevertheless, labs may still be required to perform the analysis of such evidence at the request of attorneys or law enforcement agencies. Also no extensive studies using Minifiler™ for contact DNA exist, but this technology could potentially be far superior to Identifiler™ for performing such examinations. Another consideration when examining contact DNA is whether hand washing affects the ability to collect DNA. Hand washing is classified as scrubbing the skin by mechanical agitation caused by the movement and pressure of both hands in liquid. The dirt and dead skin cells are separated from the skin by a combination of the movement of 24 the hands as well as the wet chemical action of the soap. When hand washing occurs, an individual actually removes cells that contain DNA from the skin (Brouwer et al., 2000). One would expect that immediately after hand washing, an individual would ‘shed’ very little DNA onto a surface or object if contact was made. However, the production of epidermal cells is rapid and continuous. Skin cells are constantly proliferating and dying and glands are producing oil and sweat, possibly presenting a high amount of cells containing DNA. van Oorschot et al. (1997) produced genetic profiles using one genetic marker from swabs taken directly from the hand; the average yield was 2 to 150 nanograms of DNA. However, they observed that dry hands, or hands that had previously been washed, had a lesser yield. A further consideration is the variation in amounts of DNA shed by different people. Lowe, et al. labeled donors of DNA to handled objects as either ‘good’ shedders or ‘poor’ shedders. This was determined by assessing how many alleles of their DNA were typed from touched items fifteen minutes post hand washing. Individuals that left a full profile fifteen minutes post hand washing were labeled ‘good’ shedders, while those leaving only partial profiles were labeled as ‘poor’ shedders. Of those sampled, 60% were labeled ‘good’ shedders (Lowe, et al. 2002). In contrast, Phipps and Petricevic (2006) determined that it is difficult to label an individual as a ‘good’ shedder or ‘poor’ shedder because an individual cannot be relied upon to shed a consistent amount of DNA over time. In Phipps and Petricevic’s study, it was found that after 15 minutes post-hand washing and 4 hours post-hand washing an individual did not consistently shed the same amount. The amount of DNA shed by an individual can vary on a day to day basis or 25 even an hour to hour basis. In fact, it was found that an individual could either shed less or more over time depending on the individual. These results suggest labeling individuals as ‘good’ or ‘poor’ shedders might be overly simplistic and that there are more factors attributing to how much DNA is deposited, such as handling time, the substrate or surface being contacted, the time of contact and environmental factors. Goals of Project The purpose of this study was to evaluate the suitability of DNA derived from contact DNA on cartridge cases and gun grips for use in criminal investigations and also to determine if the Minifiler™ amplification kit was suitable to amplify the amount of DNA recovered for these types of samples. I aimed to address whether it is possible to obtain DNA profiles from unfired and fired cartridge cases and gun grips using the BioRobot®EZ1 for DNA extraction and the Minifiler™ amplification system, and finally whether hand washing and handling time influences the amount of DNA recovered from contact DNA samples. 26 MATERIALS AND METHODS This project had two distinct aims. The first was to validate the BIORobot®EZ1 (Qiagen, Valencia CA) automated DNA extraction system at the Sacramento County District Attorney’s Laboratory of Forensic Services (SCDALFS) and is described in Part 1 of the Materials and Methods and Results sections that follow. The validation was performed as a service to the laboratory, but also to determine if I could use it to perform the DNA extractions on the samples in Part 2 of my study. The laboratory has two BioRobot®EZ1s and the validation was conducted on both robots. My plan was to collect and analyze 690 swabs from cartridge cases and gun grips, and I hoped that I would be able to utilize the largely automated BioRobot®EZ1 system rather than the time-intensive organic extraction method that was being used by the laboratory at that time. The second aim was to perform a comprehensive study of the variables that affect the recovery of contact DNA from common types of cartridge cases and gun grips and is described in Part 2 of the Materials and Methods and Results sections. Part 1: Validation of BioRobot®EZ1 Sample Collection All samples were collected from employees of SCDALFS, as is standard for validating new instruments and protocols there. Five volunteers were recruited, four men and one woman. The samples collected included saliva, semen, blood, urine and hair. 27 Saliva samples were collected using sterile cotton swabs, with donors swabbing the inside of their cheeks for 15 seconds. Each donor provided two cheek swabs. Blood samples were collected using a sterile lancet device (Autolet®II, US PA 423118), and the blood was then deposited on a blood card. Two mL of semen and 30 mL of urine were collected from donors in 30 mL sterile tubes. Each individual also plucked two to three scalp hairs and the hairs were examined microscopically to eliminate those that did not contain an intact root. One cm of the root end of each hair was then excised and combined with the root ends of the rest of the hair samples from that donor. DNA Extraction Blood, Saliva, and Urine For organic extractions of DNA from the blood samples, a 3 mm x 3 mm cutting was taken from each card and transferred into a microcentrifuge tube. For organic extractions of DNA from the saliva samples, one half of each swab was transferred into a microcentrifuge tube. Finally, for organic extractions of DNA from urine, two volumes were taken for analysis, 50 µL and 200 µL, and placed in microcentrifuge tubes. The DNA was then extracted according to the SCDALFS’s organic extraction protocols for bodily fluids [See Appendix A]. For the organic extraction of blood, saliva and urine samples a total of 20 extractions were conducted (5 blood, 5 saliva, and 10 urine). Blood and saliva samples for DNA extractions using the BioRobot®EZ1 were collected in the same manner as described above and processed using Qiagen’s EZ1 DNA Investigator kits according to the manufacturer’s trace protocol (EZ1 DNA 28 Investigator Handbook, 2006). At the end of the procedure, the DNA was eluted in TE using 50 µL, 100 µL or 200 µL volumes so that the effect of elution volume on DNA recovery could be studied. For blood and saliva extractions a total of 60 samples were used (30 blood and 30 saliva). Urine samples were collected in the same manner as for the organic extractions and eluted in 50 µL of TE at the end of the EZ1 extraction procedure. A total of 20 urine samples were extracted (1 set at 50 µL, 1 set of 200 µL). Hair Organic extractions of DNA from the hair samples were performed according to the standard procedures used by SCDALFS [See Appendix A]. A total of 5 samples were extracted organically. The BioRobot®EZ1 DNA extractions were performed using EZ1 DNA Investigator kits according to the manufacturer’s trace protocol and the DNA was eluted in a volume of 50 µL of TE. Ten samples were extracted (5 on each robot). Semen For organic extractions of DNA from semen samples, 50 µL of semen was pipetted onto sterile cotton swabs. The swabs were then air-dried and half of each swab was excised and transferred to a microcentrifuge tube containing 50 µL of sterile water. To remove the sperm cells from the swabs, the tubes were first pulse-vortexed and incubated at room temperature for 30 minutes. Next, the swabs were agitated with a sterile stick to release the cells, the swabs were removed and discarded, and the tubes were centrifuged for 1 minute on high speed to pellet the cells. Finally, all but 50 µL of 29 each supernatant was removed and discarded and the sperm cells were resuspended by agitating the pellets with a sterile pipette tip. To confirm that the spermatozoa had been successfully released from the swabs, 3 μL of each resuspended sperm sample was spotted onto a glass microscope slide and the cells were fixed to the slide by incubating them in a 60° C oven for 15-30 minutes. The cells were then visualized using Christmas Tree stain (SERI, Richmond CA). Once the presence of sperm cells was confirmed, the organic DNA extractions were performed according to the standard procedures used by SCDALFS [See Appendix A] and the BioRobot®EZ1 DNA extractions were performed using EZ1 DNA Investigator kits using the trace protocol and an elution volume of 50 µL of TE. For the organic extractions, four semen samples were used. For the BioRobots, a total of eight samples were extracted (replicate samples from each donor). Mock Sexual Assault Samples For the mock sexual assault samples, rectal, oral and vaginal swabs were collected, in triplicate, from one of the female volunteers. Semen was also collected from one of the male volunteers, and 50 µL was deposited onto each of the swabs collected from the female to mimic swabs taken from rape kits. The DNA from two of each of the rectal, oral, vaginal, and semen (6 swabs total) was then extracted using the BioRobot®EZ1 trace protocol with an elution volume of 50 µL and the DNA from each of the remaining swabs (3) was extracted using the SCDALFS’s organic method [Appendix A]. 30 Cross Contamination in the BioRobot®EZ1 To determine whether DNA extractions using the BioRobot®EZ1 are subject to cross-contamination between samples analyzed side-by-side, several blood samples were collected from one volunteer and the DNA was extracted using the BioRobot®EZ1 trace protocol. During the procedure, blanks containing 200 uL of sterile water were inserted in between each of the blood-containing samples to see whether any of the blanks became contaminated with DNA [Figure 9]. A second examination was performed reversing the samples and the blanks, as suggested by Montpetit, Fitch and O'Donnell (2005). PCR Inhibition study Seventeen different fabrics known to contain substances that inhibit downstream PCR reactions following organic extractions were analyzed to see whether the BioRobot®EZ1 DNA extraction method is able to remove them (Table 1). 50 μL of blood and saliva was collected from three donors and aliquoted onto the fabrics. Three sets of cuttings were made from the blood stain and saliva stains on each fabric (4x4 mm to 6x6 mm). Two of the three sets were extracted via the BioRobot®EZ1 using the trace protocol with an elution volume of 50 μL, while the third set was extracted via the SCDALFS’s organic extraction method [Appendix A]. A total of 102 fabric samples were extracted (68 for the robots and 34 organically). Substances in cigar paper are also known to cause PCR inhibition, so the five study volunteers were asked to deposit their saliva on cigars. Three 1 cm x 1 cm cuttings 31 of the paper surrounding the cigars were then excised and two from each cigar were subjected to DNA extraction on the BioRobot®EZ1 using the trace protocol with an elution volume of 50 µL The remaining cigar papers were extracted using the SCDALFS organic method [Appendix A]. A total of 15 samples were extracted (10 for the robots and 5 organically). In all a total of 244 samples were analyzed in the Validations (176 on the robots and 68 organic). DNA Quantitation The concentration of human DNA in the validation study extracts was determined for two reasons. First, it allowed a comparison between the total DNA yields from the organic and BioRobot®EZ1 DNA extraction methods. Second, the ABI AmpFℓSTR® Identifiler™ PCR kit requires 0.5-1.25ng of DNA for optimal results during the amplification process, and I wanted to ensure that when I amplified the samples for genotyping I was adding the optimal amount of DNA to the reactions. Quantitation was achieved using Quantifiler™ Human DNA Quantification kits (ABI, Foster City CA) on an ABI PRISM® 7000 Sequence Detection platform followed by dilutions of the samples to 0.1 ng/uL. 32 Figure 9. Arrangment for samples in the BioRobot®EZ1 contamination study. 33 Table 1. Fabrics used in the Inhibition study. Number 1 2 Substrate Suede-Black Leather-Black 3 Leather-Brown 4 Leather-Tan 5 Denim-Black 6 Denim-Dark 7 Denim-Blue 8 Bandana-Black 9 Bandana-Red 10 Bandana-Maroon 11 Bandana-Pink 12 Bandana-Blue 13 Bandana-Royal Blue 14 Bandana-Orange 15 Bandana-Flag Print 16 Bandana-Camouflage 17 White gauze 34 Genotyping 10 µL of each extract (1 ng total) was amplified using ABI AmpFℓSTR® Identifiler™ PCR kits in an ABI 9700 thermocycler. The samples were then genotyped on an ABI 3130 Genetic Analyzer according the manufacturer’s standard protocols [Appendix A] and using ABI Data Collection™ (v. 3.0) and Genemapper ID™ software. Statistical Analyses Quantitation values obtained using the organic and BioRobot®EZ1 methods were compared using t-tests. P-values of less than or equal to 0.05 were considered significant. Part 2: Recovery of Contact DNA from Cartridge Cases and Gun Grips Overview Part 2 of my project examined whether it is possible to retrieve contact DNA from cartridge cases and gun grips under a variety of conditions relevant to forensic casework. Since contact DNA is usually present at very low levels, I used the highly sensitive AmpFℓSTR® Minifiler™ system for most of my analyses. However, samples exhibiting 6 or more alleles in their AmpFℓSTR® Minifiler™ profiles were also subjected to AmpFℓSTR Identifiler™ testing to see whether additional information could be obtained from them. 35 Part 2 was performed in two phases. In Phase 1, ten volunteers were recruited and screened for their ability to shed contact DNA onto brass .22 caliber cartridge cases. Of these volunteers, five were selected to participate in Phase 2, including two who shed multiple alleles onto the cartridges during handling. In Phase 2, the volunteers were asked to handle cartridge cases and gun grips of different types under several different conditions and the cases and grips were swabbed for DNA-bearing cells. The swabs were then analyzed to determine whether contact DNA was present and, if so, how much genetic information could be obtained from the DNA. I examined five variables to see whether they affected DNA recovery from the cartridge cases: (1) the time elapsed between hand-washing and handling, (2) the length of time the cartridges were handled, (3) the caliber of the cartridges, (4) the metallic composition of the cartridges, and (5) whether or not the cartridge had been fired from a gun. For the gun grips, I examined three variables: (1) the time elapsed between hand-washing and handling, (2) the length of time the gun grips were handled, and (3) the composition and texture of the grip. One hundred and twenty swabs were analyzed during Phase 1 and 570 swabs were analyzed during Phase 2. Therefore, I analyzed a total of 690 swabs in Part 2 of my project. Recruitment of Volunteers It is standard practice for employees from the SCDALFS to submit samples for research projects conducted in the laboratory. Therefore, laboratory employees were 36 recruited as volunteers for the study. For Phase 1, 7 men and 3 women were recruited. Of these, three men and two women were chosen to continue as volunteers for Phase 2. Sample collection Phase 1 As discussed in the Introduction, some people shed contact DNA more easily onto objects than others. In particular, Lowe e al. found that 60% of the population sheds DNA well (i.e. are “good shedders”) as defined by the ability to shed a full DNA profile on a plastic tube after handling it for 15 minutes. Since most people are good shedders and I wanted to ensure that my study results accurately reflected what forensic analysts are likely to encounter during routine casework, I initially screened 10 persons for their ability to shed DNA onto .22 caliber brass cases. My reasoning was that if I chose only one volunteer, there was a 40% chance of not choosing a good shedder. However, if I screened 10 volunteers, there was only a (0.4)10 (approximately 1 in 10,000) chance that I would not choose at least one good shedder. Lowe et al. performed their contact DNA studies with the ABI AmpFℓSTR® SGM Plus™ system. However, since I planned to use the AmpFℓSTR®Minifiler™ system, which is much more sensitive, I decided to screen my volunteers using shorter handling times. Volunteers were asked to wash their hands and then immediately handle three pristine (direct from the manufacturer) unfired .22 caliber brass cartridge cases: one for 15 seconds, one for 30 seconds, and one for 60 seconds in succession (volunteers did not wash their hands in between handling times). The process was then repeated, but 37 volunteers were asked to wash their hands and engage in normal activities for one hour prior to handling the cases. After handling, the cases were placed in individual envelopes and stored at room temperature prior to swabbing and DNA analysis. To collect the DNA-bearing cells, each cartridge case was swabbed using the efficient “double swab” method (Sweet, et al. 1997). This involves first dampening a sterile cotton swab with 50 µL of sterile water and gently rolling it across the entire surface of an object. Then a second, dry sterile swab is rolled across the surface to collect any remaining cells. The swabs are then air-dried and packaged together prior to DNA extraction and analysis. As a final step in the collection of samples for the Phase 1 experiments, I repeated the process described above but asked the volunteers to load the cartridge cases into a gun after handling them and to fire the weapon. The expelled cases were then collected, swabbed, and analyzed using the same method as for the unfired cases. Since I planned to study the effect of firing on other types of cartridge cases in Phase 2, adding this to the Phase 1 experiments allowed me to avoid repeating the .22 brass caliber experiments in Phase 2. A flow diagram for the sample collection for the Phase 1 experiments is shown in Figure 10. 38 10 volunteers Wash hands Immediately handle cases 15” Colle 30” Collect FIRE and collec t 15” 60” Collect ct FIRE and collec t Wait one hour prior to handling cases FIRE and collec t Collec t 30” Collect FIRE and collec t 60” Collect FIRE and collec t FIRE and collec t Figure 10. Flow chart for the collection of samples for Phase 1 of Part 2. Ten volunteers handled three 0.22 brass caliber cases either immediately after washing their hands or one hour after washing their hands. Each case was handled for either15 seconds, 30 seconds, or 60 seconds, and then either collected immediately or collected after the gun was fired. 10 volunteers x 2 handling conditions x 3 handling times x 2 collection protocols = 120 samples 39 Phase 2 In Phase 2, the Phase 1 experiments were repeated for 7 additional types of cartridge cases: brass, nickel, and aluminum .38 caliber and brass, nickel, aluminum and steel 9 mm. (Five volunteers x 7 cartridge types x 2 handling conditions x 3 handling times x 2 collection protocols = 420 samples.) The volunteers were also asked to handle 5 different types of gun grips under the same conditions as for the cartridge cases except that the effect of firing the gun on the collection of contact DNA from the grip was not examined. Gun grips were cleaned with a 10% bleach solution prior to handling. Three gun grips commonly used in crimes were included, each made of different material – wood (textured and smooth), plastic (textured and smooth) and textured rubber. (Five volunteers x 5 gun grip types x 2 handling conditions x 3 handling times = 150 samples.) DNA Extraction The DNA was extracted from the swabs using the BioRobot®EZ1 instrument. First, the wet and dry swabs from each sample were excised and combined into a 2 mL sample tube. Then the samples were pretreated following the manufacturer’s protocol for forensic surface and contact swabs. Finally, the DNA in the samples was extracted using the BioRobot®EZ1 trace protocol with an elution volume of 50 uL. PCR Amplification After DNA extraction, the samples were subjected to PCR using the AmpFℓSTR® Minifiler™ system (ABI, Foster City, CA). Ten µL of each extract was 40 amplified in a total reaction volume of 25 µl on an ABI GeneAmp 9700 thermocycler, following the manufacturer’s standard protocol for sample set-up and thermocycling. Samples with at least 6 alleles in the AmpFℓSTR® Minifiler™ profiles were then subjected to qPCR to determine whether there was sufficient DNA to proceed with ABI AmpFℓSTR® Identifiler testing. qPCR was performed using ABI’s Quantifiler™ Human DNA Quantification kits (Applied Biosystems, Foster City, CA) on an ABI Prism® 7000 Sequence detection platform , and the information from the reactions was used to calculate how much of each extract should be added to the Identifiler ™ reactions. The Identifiler ™ reactions were then performed according to the manufacturer’s standard protocols (Applied Biosystems, Foster City CA). Sample Genotyping Minifiler™ and Identifiler ™ reaction amplicons were separated by automated capillary gel electrophoresis on an ABI 3130xl Genetic Analyzer. Raw data was collected using ABI Data Collection™ software v3.0 and analyzed using ABI GeneMapper ID™ (v.3.2) software. Identification of Contaminated Samples and Withdrawal from the Study After Minifiler™ analysis, the profiles of samples containing at least one allele at or above 75 RFUs were compared against the known profiles of the donors. Any samples 41 that had alleles that could not have been contributed from the donor were then labeled as “Contaminated” and withdrawn from the study. Identification of Samples with Allelic Drop Out Comparisons of the samples containing at least one allele at or above 75 RFU with the donors’ profiles also enabled me to identify samples in which complete allelic drop-out had occurred. Such samples present as homozygous at a locus when, in fact, the donor is a heterozygote. This is because the second peak cannot be detected above background “noise.” While such samples provide information for forensic casework, they can also be misleading if they are not interpreted with caution. It is important for the forensics community to know how many contact DNA samples are likely to contain allelic drop out using the Minifiler™ system and under what conditions. Therefore, the study tracked them and reported their frequency. Classification of Genetic Profiles All non-contaminated samples (including those with allelic drop out) were classified into one of the following three categories: (1) Full profile. The electropherogram contained at least one allele at or above 75 RFUs (relative fluorescent units) at all 8 AmpFℓSTR® Minifiler™™ STR loci or at all 15 AmpFℓSTR® Identifiler™ STR loci 42 (2) Partial profile. The electropherogram contained at least one AmpFℓSTR® Minifiler™ or AmpFℓSTR® Identifiler™ allele at or above 75 RFUs but did not contain alleles at or above 75 RFUs at all STR loci in the system. (3) No profile. The electropherogram did not contain any alleles at or above 75 RFUs. Statistical Analyses and Reporting Methods DNA recovery was assessed by counting the number of alleles deposited on each cartridge case and gun grip. Differences across samples in the same group (e.g. caliber type, amount of time handled, etc.) were compared using ANOVA tests. P values of less than or equal to 0.05 were considered significant. The number of samples falling into the each of the three broad categories (“Full Profiles”, “Partial Profiles”, and “No Profile”) was divided by the total number of noncontaminated swabs analyzed, and the results were reported as percentages. Samples falling into the “Contaminated” and “Allelic Drop Out” categories were reported in absolute numbers 43 RESULTS Part 1: Validation of BioRobot®EZ1 DNA Yields Saliva The BioRobot®EZ1 extraction method produced DNA yields comparable to those obtained using the organic extraction method. The mean yields for the samples extracted via the BioRobot®EZ1 were 365.0 ng (50 µL elution volume), 506.0 ng (100 µL elution volume), and 82.0 ng (200 µL elution volume). The mean yield for samples extracted organically was 530.0 ng. There was no significant difference between the mean DNA yields obtained at any of the elution volumes for the BioRobot®EZ1 and the mean yield for the samples extracted organically (p=0.50 at 50 µL, p=0.98 at 100 µL and p=0.07 at 200 µL df=4) [Figure 11]. Blood The DNA yields from blood samples indicate that the BioRobot®EZ1 extracts DNA from samples as effectively as the organic method. The mean DNA yield for organic extracts was 48.9 ng. The mean DNA yields for the BioRobot®EZ1 extracts were 41.6 ng (50 µL elution volume), 30.2 ng (100 µL elution volume), and 171.0 ng (200 µL elution volume). The p values were as follows: p=0.78 for 50 µL, p=0.40 for 100 µL, and p=0.11 for 200 µL [Figure 12]. 44 Figure 11—Histogram comparing the mean DNA yields from saliva samples using the organic extraction method (n=5) and the BioRobot®EZ1 at three different elution volumes (50, 100, and 200 µL, n=30). 45 Figure 12. Histogram depicting the mean DNA yields from blood samples using the organic extraction method(n=5) and the BioRobot®EZ1 extraction method at three different elution volumes (50, 100 and 200 µL, n=30) 46 Semen DNA yields were also compared between the BioRobot®EZ1 and organic extraction methods for semen. However, in this case, only one volume (50 uL) was used to elute the DNA in the BioRobot®EZ1 samples. The mean DNA yield for samples extracted organically was 557.0 ng and the mean DNA yield for samples extracted with the BioRobot®EZ1 was 1534.0 ng. The BioRobot®EZ1 DNA yields for semen samples were significantly higher than those produced by the organic method (p=0.002). However, the yields for both extraction methods were still well above the lower limit set for downstream amplification with Identifiler™ (0.5-1.25 ng of DNA) [Figure 13]. Hair DNA yields were compared for hair samples extracted by the BioRobot®EZ1 and the organic extraction method. The mean DNA yield for the samples extracted organically was 2.22 ng and samples extracted by the BioRobot®EZ1 eluted in 50 µL was 17.4 ng. DNA yields of samples extracted via the BioRobot®EZ1 resulted in slightly higher DNA yields that those extracted organically (p=0.04) [Figure 14]. 47 Figure 13. Histogram depicting the mean DNA yields from neat semen samples using the organic extraction method (n=4)and the BioRobot®EZ1 extraction method at an elution volume of 50 µl (n=8). 48 Figure 14. Histogram depicting the comparison of DNA yields from hair samples (root) extracted using the organic method (n=5) and the BioRobot®EZ1 extraction method at an elution volume of 50 uL(n=10).. 49 Urine The DNA yields from urine samples extracted by the BioRobot®EZ1 and the organic method for two different input volumes of urine, 50 µL and 200 µL, were compared. For 50 µl urine samples, the mean DNA yield for samples extracted organically was 0.006 ng and the mean DNA yield for the samples extracted via the BioRobot®EZ1 was 0.19 ng [Figure 15]. The 200 µL urine samples extracted organically had a mean DNA yield of 0.04 ng and the mean DNA yield for the BioRobot®EZ1 samples eluted in 50 µL of TE Buffer was 0.74 ng [Figure 16]. For 200 uL input samples, the BioRobot®EZ1 robot yielded slightly more DNA than the organic method (p=0.04). However, for 50 µL input samples the difference between yields was not significant (p=0.09). It should be noted that the DNA yields from both extraction systems was very low and was insufficient for downstream analysis using the standard DNA typing methodologies used in forensic analyses. Inhibition Studies Blood and Saliva on Fabrics An inhibition study was conducted using seventeen different fabrics in order to determine if the BioRobot®EZ1 was better at removing PCR inhibitors than the organic 50 Figure 15. Histogram depicting the mean DNA yields for the organic extraction method (n=5) and the BioRobot®EZ1 for 50 µL of urine (n=10). 51 Figure 16—Histogram depicting the mean DNA yields for the organic extraction method (n=5) and BioRobot®EZ1 for 200 µL of urine (n=10). 52 extraction method. After extraction, a visual examination of the extracts suggested that the BioRobot®EZ1 is better at removing dyes from some substrates (black suede, black leather, red bandana and maroon bandana) since the organically extracted samples were slightly colored whereas the BioRobot®EZ1 samples were clear. Inhibition was detected by examining the internal control CT values obtained during qPCR with the ABI Quantifiler™ Human DNA Quantification system. Inhibition was observed after organic extraction from some substrates [Table 2]. However, PCR inhibition was not observed in extracts generated using the BioRobot®EZ1, suggesting that the BioRobot®EZ1 is a better method, overall, for removing PCR inhibitors from blood and saliva stains on fabrics. Inhibited samples were subjected to additional analysis using the ABI AmpFℓSTR Identifiler™ system to see whether they could be genotyped. Interestingly, full DNA profiles could still be obtained from some extracts inhibited during qPCR. This indicates that high CT values of the internal control during qPCR may not be a good indicator of the performance of the extract during downstream genotyping. 53 Table 2. Substrates containing PCR inhibitors that could not be removed during organic extraction. Some samples that showed inhibition during qPCR could still be used to generate full profiles in downstream Identifiler™ reactions. Substrate DNA Concentration (ng/µL) Inhibited IPC CT STR Data Tan Leather Undetermined Yes Undetermined No profile Black Leather 0 Yes Undetermined No profile Suede Black 2.34 Yes 35.01 Full Profile Royal Blue Bandana 5.51 Yes 31.43 Full Profile Dark Denim 3.66 Yes 31.94 Full Profile Camouflage 6.76 Yes 33.19 Full Profile 54 Cigars None of the cigar DNA extracts contained PCR inhibitors after extraction. Four of the five organically extracted samples produced full profiles in downstream genotyping, while one produced a partial profile. The BioRobot®EZ1 yielded full DNA profiles for all samples [Table 3]. Cross-Contamination Study Cross contamination can occur due to the close proximity of samples during analysis and could be especially problematical for the BioRobot®EZ1 because sample tubes remain open during the extraction process. However, no DNA cross-contamination was detected. Mock Sexual Assault Study The mock sexual assault samples contained a mixture of female DNA from oral, rectal and vaginal swabs and semen from a single male. Mixtures like these are commonly encountered during forensic casework and it is important that the female and male DNA fractions be separated as effectively as possible to prevent mixed profiles in downstream genotyping. The organic extraction method proved to separate the female and male fractions efficiently. However, all female extracts generated from the BioRobot®EZ1 contained mixed DNA profiles [Figure 17]. Therefore, the organic DNA extraction method is preferable for stains containing a mixture of semen and female epithelial cells. 55 Table 3. Mean DNA yields and genotyping success of saliva stains on cigar paper following DNA extraction with the organic and BioRobot®EZ1 methods. Samples 1-5: Organic extraction. Samples 1Q5Q: BioRobot®EZ1 extraction. Samples DNA Yields (ng) Item-1 Item-1Q Item-2 Item-2Q Item-3 Item-3Q Item-4 Item-4Q Item-5 Item-5Q 2.77 9 3.14 10 1.34 3.25 0.65 3 0.13 2.83 STR Data Partial STR Profile Full STR Profile Full STR Profile Full STR Profile Full STR Profile Full STR Profile Full STR Profile Full STR Profile Full STR Profile Full STR Profile 56 A) B)\ Figure 17. Comparison of organic and BioRobot EZ1™ DNA extraction methods in separating male and female DNA fractions in a mock sexual assault sample. A) Organic extraction. One minor allele from the male appears in the female’s profile. B) EZ1 extraction. Several alleles from the male appear in the female’s profile, and the peak heights of the male alleles are higher than those observed for the same sample extracted organically. 57 Phase 1 Part 2: Recovery of Contact DNA from Cartridge Cases and Gun Grips The results from Phase 1 are shown in Table 4. Of the ten volunteers screened, two (Volunteers 7 and 8) shed more DNA than the others. Both shed one allele onto a case immediately after they washed their hands and shed many alleles onto the cases when they handled them one hour post-hand washing. Interestingly, only three of the other volunteers (Volunteers 3, 4 and 5) shed any alleles onto the cases, regardless of the handling conditions, and each shed so little DNA that only one or two alleles could be detected above the75 RFU threshold. The two donors who shed the most DNA were selected to continue as volunteers for Phase 2. In addition, three other donors were chosen, according to convenience, as additional volunteers for Phase 2. Phase II Cartridge Cases: Identification of Contaminated Samples and Withdrawal from the Study Thirty-nine out of the 540 swabs analyzed were contaminated and withdrawn from the study. Therefore, all downstream analyses were performed on only 501 samples. Identification of Samples with Allelic Drop Out Thirty-one of the samples contained at least one locus that exhibited total drop out of one of the alleles at one or more heterozygous loci. These samples were not removed from the study and underwent all steps of the downstream analyses. However, they were tracked in the study. 58 Table 4. DNA shed onto .22 caliber brass cases by 10 different donors as detected by AmpFlSTR® Minifiler™. Donors handled cases for 3 different time periods (15 sec, 30 sec, or 60 sec) either immediately after washing their hands or 1 hour after washing their hands. Volunteers 7 and 8 shed much more DNA than the other donors. Donors 2, 5, 6, 7, and 8 were chosen to continue as volunteers for Phase 2. Alleles detected above a threshold of 75 RFU are emboldened. Immediately after Washing Hands Handling time Volunteer 1 Volunteer 2 Volunteer 3 Volunteer 4 Volunteer 5 Volunteer 6 Volunteer 7 Volunteer 8 Volunteer 9 Volunteer 10 15 sec 0 0 0 0 0 0 0 1 0 0 30 sec 0 0 0 0 0 0 0 0 0 0 60 sec 0 0 0 0 0 0 1 0 0 0 1 Hour After Washing Hands 15 sec 0 0 0 1 0 0 12 6 0 0 30 sec 0 0 0 0 2 0 2 11 0 0 60 sec 0 0 1 0 0 0 2 16 0 0 59 Effect of Caliber Type on DNA Recovery from Cartridge Cases A comparison between the total number of alleles recovered from three calibers, .22, .38 and 9mm cartridge cases, did not show a significant difference in the recovery of DNA (p=0.24). No profiles were obtained for 90% of samples for .22 cartridge cases (n=114), 83% of samples for .38 cartridge cases (n=161) and 85% of samples for 9mm cases (n=226). Partial profiles were observed for 9.0% of .22 samples, 13% of .38 samples and 13% of 9mm samples. Full profiles were observed in 1.0% of .22 samples, 4.0% of .38 samples and 2.0% of 9mm samples [Figure 18]. Contamination was observed in 6 of the samples from .22 caliber cases, 19 of the samples from .38 caliber cases, and 14 samples from 9mm cases. These samples were excluded from the study. Effect of Firing on DNA Recovery from Cartridge Cases Of the 270 unfired case samples, 20 were contaminated and were withdrawn from the study. Of the 270 fired case samples, 19 were contaminated and were withdrawn from the study. This left a total of 250 samples from unfired cases and 251 from fired cases. A comparison of unfired versus fired cartridge cases showed that there was a highly significant difference in the amount of DNA recovered (p<0.001). More DNA was recovered from unfired cases than from fired cases, which was expected. No profiles were obtained for 80% of unfired samples and 92% of fired samples. Partial profiles were obtained for 15% of unfired and 8% of fired. Full profiles were observed for 5% of unfired and 0% of fired [Figure 19]. 60 Figure 18. Histogram depicting the percentage of samples with “Full Profiles”, “Partial Profiles” or “No Profiles” of different caliber types (n=501) 61 Figure 19.Percentof samples with full profiles partial profiles, and no profiles from unfired and fired cartridge cases (n=501). 62 Effect of Handling Time on DNA Recovery from Cartridge Cases Of the 180 samples handled by donors for 15 seconds, 14 were contaminated and were withdrawn from the study. Of the 180 samples handled by donors for 30 seconds, 11 were contaminated and were withdrawn from the study. Of the 180 samples handled by donors for 60 seconds, 14 were contaminated and were withdrawn from the study. This left a total of 166 handled for 15 seconds, 169 handled for 30 seconds, and 166 handled for 60 seconds. Full profiles were obtained from 2% of the samples handled for 15 seconds, 3% of the samples handled for 30 seconds, and 3% of the samples handled for 60 seconds. Partial profiles were obtained from 11% of the samples handled for 15 seconds, 13% of the samples handled for 30 seconds, and 13% of the samples handled for 60 seconds. No profiles were obtained from 87% of the samples handled for 15 seconds, 84% of the samples handled for 30 seconds, and 84% of the samples handled for 60 seconds [Figure 20]. When the total number of alleles recovered from the cases was compared, no difference was observed (p=0.85). Therefore, the amount of time a person handles a cartridge case, at least within the 15/30/60 second window examined in this study, makes no difference in the amount of contact DNA they shed on the cases. Since it is unlikely that a person loading a gun would handle a case for more than about 1 minute, these results are probably a good predictor of the results analysts can expect from casework samples. 63 Figure 20. Percent of samples with “Full Profiles”, “Partial Profiles”, and “No Profiles” generated from cartridge cases handled for three different lengths of time (n=501). 64 Effect of Case Material on DNA Recovery from Cartridge Cases Of the 240 brass cartridge case samples, 13 were contaminated and were withdrawn from the study. Of the 120 aluminum cartridge case samples, 6 were contaminated and were withdrawn from the study. Of the 120 nickel cartridge cases, 20 were contaminated and were withdrawn from the study. Of the 60 steel cartridge cases, none were contaminated, so all were included in the study. Full profiles were obtained from 1.0% of the brass cartridge cases, 3% of the aluminum cartridge cases, 5.0% of the nickel cartridge cases, and 0% of the steel cartridge cases. Partial profiles were obtained from 7.0% of the brass cartridge cases, 21% of the aluminum cartridge cases, 11% of the nickel cartridge cases, and 18% of the steel cartridge cases. No profiles were obtained from 92% of the brass cartridge cases, 75% of the aluminum cartridge cases, 84% of the nickel cartridge cases, and 82% of the steel cartridge cases [Figure 21]. When the total number of alleles recovered from the cases was compared, no difference was observed (p=0.11). Therefore, metal composition does not appear to make a significant difference in the amount of contact DNA shed onto cartridge cases. Effect of Time Since Hand Washing on DNA Recovery from Cartridge Cases Of the 270 cases handled immediately after hand washing, 13 were contaminated and were withdrawn from the study. Of the 270 cases handled one hour after hand washing, 26 were contaminated and were withdrawn from the study. 65 Figure 21. Percent of samples with “Full Profiles”, “Partial Profiles”, and “No Profiles” generated from cartridge cases comprised of 4 different types of metals (n=501).. 66 “Full Profiles” were obtained from 2.0% of the cases handled immediately after hand washing and 3% of the samples handled one hour after hand washing. “Partial Profiles” were obtained from 6% of the samples handled immediately after hand washing and 18% of samples handled one hour after hand washing. “No Profiles” were obtained from 92% of samples handled immediately after hand washing and 79% of samples handled one hour after hand washing [Figure 22]. When the total number of alleles recovered from the cases was compared, a significant difference was observed. The DNA recovery was much higher when a person waited one hour after hand washing to handle a cartridge case than if a person handled a case immediately after hand washing (p=0.001). AmpFℓSTR Identifiler™ Typing Samples containing three or more alleles from the donor were quantitated to determine if they were candidates for additional genotyping using the less sensitive but more informative AmpFℓSTR Identifiler™ system. A minimum of about 0.5 ng of DNA is needed to generate reproducible Identifiler™ genotypes free of peak height imbalances, allele drop out and other stochastic effects. Therefore, samples containing less than 0.1 ng of DNA were not tested with this method. Forty-seven samples 67 Figure 22—Comparison of percentage of samples at two wash times with no profile, a partial profile and a full profile for cartridge cases amplified with Minifiler™ (n=501). 68 contained three or more alleles in the Minifiler™ analyses and were quantitated. Of these, 11 contained at least 0.1 ng of DNA and were amplified with Identifiler™. One of the 11 samples run through Identifiler™, one yielded a “Full Profile” in and yielded “Partial Profiles”. Only one of the “Full Profiles” was complete (contained all the alleles carried by the donor). Therefore, the vast majority of non-contaminated cartridge cases in this study (496/501) either contained too little DNA for Identifiler™ analysis or failed to produce profiles when the analysis was performed. Summary of Cartridge Case Study Results In total, 540 cartridge cases were swabbed. Of these, 39 were contaminated and removed from the study. Therefore, the results from 501 samples were analyzed. Of the 501 uncontaminated samples, “Full Profiles” were obtained from 2.4% (12/501) of the samples, “Partial Profiles” were obtained from 10.2% (51/501) of the samples, and “No Profiles” were obtained from 87.4% (438/501) of the samples. Very few of the “Full Profile” samples contained the complete DNA profile of the donor in either Minifiler™ or Identifiler™ testing. Only 10 samples tested with Minifiler™ and only one sample tested with Identifiler™ contained every allele from the donor at a level of at least 75 RFU. 69 Gun Grips Identification of Contaminated Samples and Withdrawal from the Study Twelve of the 150 samples taken from gun grips were contaminated and were withdrawn from the study. Therefore, all downstream analyses were performed on only 138 samples. Identification of Samples with Allelic Drop Out Nineteen of the samples contained at least one locus that exhibited complete drop out of one of the alleles at one or more heterozygous loci. These samples were not removed from the study and underwent all steps of the downstream analyses. However, they were tracked in the study. Effect of Grip Type on the Recovery of DNA from Gun Grips Of the samples taken from smooth wood gun grips, 5 were contaminated. Therefore, 25 were analyzed. Of the samples taken from textured wood grips, 3 were contaminated. Therefore, 27 were analyzed. Of the samples taken from smooth plastic grips, 1 was contaminated. Therefore, 29 were analyzed. Of the samples taken from textured plastic grips 0 were contaminated. Therefore, 30 were analyzed. Finally, of the samples taken from textured rubber grips, 3 were contaminated. Therefore, 27 were analyzed. The percent of full profiles, partial profiles, and no profiles obtained from each grip type are shown in Figure 23. When the total number of alleles deposited on the 70 different grip types was compared, no significant difference in DNA recovery was observed (p=0.06) Effect of Handling Time on the Recovery of DNA from Gun Grips Of the samples taken from the donors after they handled the gun grips for 15 seconds, 5 were contaminated. Therefore, 45 were analyzed. Of the samples taken from the donors after they handled the gun grips for 30 seconds, 4 were contaminated. Therefore, 46 were analyzed. Of the samples taken from the donors after they handled the gun grips for 60 seconds, 3 were contaminated. Therefore, 47 were analyzed. Data on the percent of “full profiles”, “partial profiles” and “no profiles” obtained at different handling times is shown in Figure 24. When the total number of alleles recovered from the grips at different handling times was compared, no significant difference was observed (p=0.45). Effect of Hand washing on the Recovery of DNA from Gun Grips Of the samples taken from the donors who handled the gun grips immediately after hand washing, 5 were contaminated. Therefore, 70 were analyzed. Of the samples taken from the donors who handled the gun grips one hour after hand washing, 7 were contaminated. Therefore, 68 were analyzed. Data of the percent of “full profiles”, “partial profiles” and “no profiles” obtained at immediately after and one hour post-hand washing in shown in Figure 25. 71 Figure 23. Effect of grip material on the percent of “Full Profiles,” “Partial Profiles,” and “No Profile” recovered from gun grips. Amplifications were performed with AmpFlSTR Minifiler™ (n=138). 72 Figure 24. Effect of handling time on the percent of “Full Profiles,” “Partial Profiles,” and “No Profile” recovered from gun grips. Amplifications were performed with AmpFlSTR Minifiler™ (n=138). 73 When the number of alleles recovered from the grips was compared, a significant difference was observed. More alleles could be recovered from grips handled one hour after hand washing than those handled immediately after hand washing (p=0.002). These results are similar to those in the cartridge case study, providing further evidence that time since hand washing is an important factor influencing the recovery of contact DNA from objects. AmpFlSTR Identifiler Typing Fifty-nine of the gun grip samples yielded Minifiler™ profiles with three or more alleles at or above 75 RFU and were subjected to downstream quantitation. Thirty-four did not have sufficient levels of human DNA for Identifiler™ typing. However, 25 produced profiles when they underwent Identifiler™ analysis. Six produced a full profile and 14 produced partial profiles. All six of the full profile samples contained all of the alleles carried by the donor and none exhibited the complete drop out of alleles. Summary of Gun Grip Study Results In total, 150 gun grips were swabbed. Of these, 8.0% (12/150) were contaminated and removed from the study. Therefore, the results from 138 samples were analyzed. 74 Figure 25. Percent of gun grips for which “No Profiles” “Partial Profiles” or “Full profiles” were observed when amplified with Minifiler™ (n=138). 75 Full profiles were obtained from 18.8% (26/138) % of the samples, partial profiles were obtained from 33.3 % (46/138) of the samples, and no profiles were obtained from 47.8% (66/138) of the samples when analyzed using Minifiler™. Of the samples containing full profiles or partial profiles, 19 exhibited at least one locus with complete allelic drop out. Of the full profile samples, 26 contained the complete genotype of the donor when analyzed by Minifiler™ and 6 contained the complete Identifiler™ profile. Comparison of Results from Cartridge Case and Gun Grip Studies A flow chart comparing the results of the Cartridge Case and Gun Grip studies is shown in the Figure 22. When the data is viewed from this perspective, five trends emerge. First, under the same handling conditions, more alleles 641were shed onto the gun grip samples than onto the cartridge cases 368 (p = < 0.001). Second, the quality of the profiles obtained from the gun grips was higher than those obtained from the cartridge cases. Fifty-two% (72/501) of the gun grip samples yielded genetic information, while only 12.5% (63/138) of the cartridge case samples yielded information. Third, downstream Identifiler™ testing was more successful on gun grips samples. Of the samples analyzed in the Identifiler™ system, 29.9% (20/67) of the gun grip samples yielded genetic information compared to only 10.6% (5/47) of the cartridge case samples. Fourth, the Minifiler™ system, probably due to it greater level of sensitivity, produced contaminated profiles while the Identifiler™ system did not. 7.4% (51/690) of the Minifiler profiles were contaminated and had to be withdrawn from further analyses. 76 Finally, complete allelic drop out was absent from the Identifiler™ profiles, while 7.5% (48/639) of the Minifiler™ samples exhibited complete drop out of one or more alleles. A bias exists in the data concerning allelic drop out because only samples with optimal levels of DNA were subjected to Identifiler™ analysis. However, complete allelic drop out is rare in Identifiler profiles; usually, the second allele in a heterozygous pair can still be detected above background in electropherograms. Therefore, heterozygosity can be detected and used for inclusionary or exclusionary purposes. 77 Minifiler™ 690 swabs 150 gun grips 540 cartridge cases 39 contaminate d 438 None 501 analyzed 51 Partial 12 Full 138 analyzed 12 contaminated 46 Partial 26 Full 66 None 29 total allelic drop out observed 2 incomple te 10 complete 26 complete 2 total allelic drop out observed 0 incomplete 19 total allelic drop out observed 0 total allelic drop out observed Quantifiler™ 59 samples quantitated 47 samples quantitated 36 swabs <0.1 ng 11 swabs >0.1 ng 25 swabs > 0.1 ng 34 swabs <0.1 ng Figure 26- Flow chart comparing the results obtained from the cartridge case and gun grip studies continued on page 79). 78 Identifiler™ 11 swabs >0.1 ng 0 Contaminate d 6 None 4 Partial 25 swabs > 0.1 ng 1 Full 0 Contaminated 14 Partial 5 None 6 Full 0 total allelic drop out observed 1 complete 0 _incomplete 6 complete 0 _incomplete 0 total allelic drop out observed 79 DISCUSSION Validation Validation studies are extremely important in forensic laboratories to determine whether a new procedure or instrument performs as efficiently as the procedure/instrument that it is replacing. Each laboratory is responsible for conducting its own validation study before the instrument/procedure can be implemented. This validation of the BioRobot®EZ1 provided data that demonstrated the capability of this platform in performing DNA extractions as efficiently, in most cases, as the phenolchloroform DNA extraction method that was in use at the laboratory before this study was performed. The data generated in this study demonstrated that both extraction methods give comparable and robust DNA yields from saliva and blood but that the BioRobot®EZ1 outperforms the organic method on semen and hair samples. For urine, the BioRobot®EZ1yielded slightly more DNA when the input volume was 200 uL but comparable yields when the input volume was 50 uL. The BioRobot®EZ1 proved more effective at removing PCR inhibitors than the organic extraction method. The DNA from samples containing known inhibitors and extracted using the BioRobot®EZ1 showed no inhibition in qPCR. The BioRobot®EZ1 also proved to be much more successful in completely removing PCR inhibitors from leather fabrics. 80 This study saw no PCR inhibition in DNA extracts from cigar samples. However Montpetit et al., (2005) observed PCR inhibition in cigar samples extracted using the organic method, while the majority of their cigar samples extracted using the BioRobot®EZ1 yielded full DNA profiles with no inhibition. It is unclear why this study obtained different results, but it could possibly be due to the types of cigars used or the fact that Monpetit et al .used larger cuttings. They used one-third of the paper from the filter region, where this study used only 1 cm x 1 cm cuttings. This may suggest that taking smaller cuttings of cigars is a good idea because it limits the inhibition of PCR in downstream applications. However, a more careful study would need to be performed to confirm this finding. There are two reasons that might explain why the BioRobot®EZ1 is more effective at removing PCR inhibitors during DNA extraction. First, the magnetic bead technology that is used allows for tight binding of the DNA to the silica beads and the inhibitors likely do not bind, yielding a more pure sample. Secondly, samples are eluted in a much higher volume, therefore the samples are far less concentrated, hence diluting out the inhibitors. Prior to systems like the BioRobot®EZ1, it was common practice to dilute samples or increase the number of PCR cycles in order to over come inhibition. This study did not fully examine every sample that could contain potential PCR inhibitors and it would be beneficial to conduct further experiments to determine what type of inhibitors cannot be removed using the silica magnetic bead technology, if any. The BioRobot®EZ1 platform contains sample and elution tubes that remain open during the extraction process, which could lead to sample-sample contamination. To 81 control for this, we interspersed blank samples in between samples with blood. No DNA was detected in any of the blank samples as shown by the quantitation of the samples as well as the subsequent PCR amplification. The reagents are contained in single use cartridges, and the extraction process occurs in the filter tip which does not cross over any other samples. This greatly reduces the risk of contamination between samples. The filter tips are also disposable, further preventing contamination of samples. Each sample has its own filter tip and after each run, a new filter tip is used. Comparisons of the STR profiles generated from the mock sexual assault samples demonstrated that at this time the BioRobot®EZ1-based differential extraction does not perform as well as the organic method. Non-sperm fraction samples extracted using the BioRobot®EZ1 contained some carry over from the sperm cells as shown by the STR profiles generated in all of the samples. There was also some carry over in the non-sperm fraction seen in some organically extracted samples; however it was far less than what was observed from the BioRobot®EZ1 samples. This is possibly due to the proteinase K that is provided in the Qiagen kit. Qiagen does not release the details of the concentration of the Proteinase K, but it is believed that it is at such a high concentration that it lyses the sperm cells too early, thus making it harder to separate the two fractions. Another theory is that the Qiagen Buffer G2 contains a high concentration of detergent, which also increases the likelihood that the sperm will lyse early. It is recommended that studies examining why the BioRobot®EZ1 does not perform as efficiently for these samples continue to be investigated. 82 Contact DNA Contact DNA has been important in some very high profile cases, such as the JonBenet Ramsey case, in which Bode Technology was able to obtain a contact DNA profile from the long johns she wore the night she was murdered (Bode Technology 2009). Contact DNA is not a new idea; however, recent improvements in the technology have made it possible to generate human DNA profiles from much smaller quantities of DNA. The goal of this project was to determine if it was possible to obtain human genetic profiles from contact DNA shed onto cartridge cases gun grips, which are some of the most common forms of evidence submitted to crime labs. The SCDALFS has repeatedly been asked to examine these types of samples, and this study aimed to provide evidence as to whether such an analysis is viable. It was not the goal of this experiment to determine the frequency of ‘good DNA shedders’ in the population. However, a preliminary experiment was used to determine the five ‘best’ shedders out of ten volunteers. It was observed that of the five individuals chosen, three ‘shed’ more DNA onto cartridge cases and gun grips than the other volunteers throughout the remainder of the study. This is consistent with the Lowe, et al. finding that approximately 60% of the population shed DNA well. Another interesting observation was that two of the five volunteers in this study were women and all of them shed less DNA than the men. Lowe et al., did not observe a male or female bias in their sample size of 30 and gender was not considered for the Phipps et al. study (2003). It would be interesting to further investigate if men, in general, are better shedders than women and why this might be the case. 83 It was determined that for cartridge cases, the physical size of the case, the material used to manufacture the case and the handling time did not influence the amount of DNA recovered. It was expected that .38 cartridge cases would yield more DNA compared to the other two calibers, because this caliber has a larger surface area. However, this was not observed. It was found that the type of metal in the case (brass, aluminum, nickel and steel), also did not affect the recovery of DNA. The length of time an object was handled had no effect on the amount of DNA recovered. However, the time intervals included in this study were very short and it possible that if an individual were to hold a cartridge case or gun grip for longer periods of time, more DNA would be recovered. A follow-up study, especially one focusing on gun grips (which are much more likely to undergo long-term contact than cartridge cases) would therefore be advisable. Minimal amounts of DNA (alleles present at 1-4 loci) were recovered from fired cartridge cases. One of the fired cartridge cases contained a partial profile consisting of alleles present at six loci. These alleles were consistent with those of the volunteer but may have been produced by inadvertent handling of the case by the volunteer after the case was fired. It is likely that firing a gun degrades DNA on cases because of the heat to which the case is exposed. However, Given et al (1976), in an examination of the effects of firing on the recovery of latent prints from cases, concluded that is it is more likely the effects of the internal pressure that removes material from the surface of the case. The pressure causes the case to expand, which produces friction may transfer material from 84 the case to the chamber of the firearm. It might be interesting to swab the inside of the chamber of a gun after it is fired to see whether any DNA can be recovered. Unlike fired cases, it is possible to recover informative profiles from unfired cases, even if they are handled only briefly. However, the quantity of DNA recovered from these types of objects after a single contact seems to be limited to a few nanograms. Whether an individual washed their hands prior to touching an object or waited an hour after hand washing proved to be significant to the amount of DNA recovered, for both gun grips and cartridge cases. Therefore, the longer an individual goes without washing their hands the more DNA they are likely to transfer. This was also observed by Phipps et al .and Lowe et al. van Oorschot et al., (1997) were the first to show that an individual’s genetic profile could be generated from swabs taken from objects they handled, such as a briefcase handle, plastic knives, pens and mugs. They examined different handling times as well as the effects of hand washing. Later studies recovered smaller amounts of DNA from contact samples, including coffee mugs, phones and door handles (Ladd, et al. 1999, Lowe, et al. 2002, Esslinger, et al. 2004). The samples examined in this study generated yields of 0.0045 ng up to 38 ng. However, when using Minifiler™, it was possible to recover alleles from less than 0.0045 ng of DNA (the optimal amount is 0.5 0.75 ng). The wide range can be explained by the different types of samples used in this study and the many variables that were tested. This study focused solely on handguns and handgun ammunition, so additional studies on other types of firearms, especially those that require large ammunition (e.g. 85 shotguns and rifles), would be beneficial. In addition, it would be helpful to know whether areas of a gun other than the grip are a good source of contact DNA. Complete allelic drop out was seen in many of the Minifiler™ profiles. At this time, it is unclear why Minifiler™ is prone to this problem. It may result from the fact that Minifiler™ is usually used only on very low copy number samples, and the PCR reactions may therefore be subject to sampling error in the initial rounds of primer binding and amplification. A full Minifiler™ profile is shown in Figure 27. A profile of the same individual, but exhibiting complete allelic drop out, is shown in Figure 28. This study also indicates that Minifiler™ is more subject to contamination than Identifiler™, and that the source of the contamination is not always easy to trace. Indeed, several of the samples in this study contained alleles that were not carried by either the donor or the person swabbing and analyzing the sample, indicating that tiny amounts of DNA in the environment or in the reagents used to process the samples may amplify in Minifiler™ reactions despite preventative measures. The results of this study therefore support the idea that the Minifiler™ system is more prone than Identifiler™ to producing profiles that are potentially misleading. Contamination and complete allelic drop out can interfere with the accurate interpretation of forensic DNA profiles and Minifiler™ profiles from contact DNA samples should therefore be interpreted with caution. The greater sensitivity of the Minifiler ™ system must be carefully weighed against its tendency to yield misleading results, and the choice of system should reflect a careful consideration of the advantages and limitations of each. 86 Figure 27. Electropherogram of a full Minifiler™ 87 Figure 28—Electropherogram demonstrating allelic drop out at two loci. This person is heterozygous (29, 31.2) at D21S11, but only one peak is present, 29. At FGA, the individual is heterozygous (18, 23), but only peak 23 is present. 88 Appendix A Protocols from the Sacramento County District Attorney’s Office, Laboratory of Forensic Services for DNA extraction, quantitation and amplification. Methods: 1. Extraction (phenol-chloroform, organic) Blood Semen Swab Oral Swab Hair Urine 2. Concentration (Centricon Purification) 3. Quantitation a. qPCR (7000) 4. Amplification (PCR GeneAmp 9700) ABI Identifiler™ ABI Minifiler™ 1. Extraction (phenol-chloroform) Sample Digestion-Blood 1. Cut a cm2 from a blood card with a sterile scalpel and place in a 1.5 mL microcentrifuge tube. 2. Add 0.5 mL of Digest Buffer to the tube with the sample. 3. Add 15 µL of Proteinase K Solution 4. Mix gently 5. Incubate in a heat block at 56ºC ± 1ºC for 1 hour. 6. Add 15 µL of Proteinase K Solution. 7. Incubate in a heat block at 56ºC ± 1ºC for 1 hour. 8. After digestion, remove substrate with a sterile stick and discard. Sample Digestion-Semen Swab 1. Pipette 50 µL of liquid semen onto a sterile cotton swab, and let dry over night in the fume hood in a swab rack. 2. Cut half of the swab tip with a sterile scalpel and place in a 1.5 mL microcentrifuge tube. 3. Add 0.5 mL of Digest Buffer to sample tube. 4. Add 20 µL of 1M Dithiothreitol (DTT) 5. Add 15 µL of Proteinase K 6. Incubate in a heat block at 56ºC ± 1ºC for 1 hour. 89 7. Add 15 µL of Proteinase K. 8. Incubate in a heat block at 56ºC ± 1ºC for 1 hour. 9. Remove substrate from sample. Sample Digestion-Oral Swab 1. Cut half of the swab tip with a sterile scalpel and place in a 1.5 mL microcentrifuge tube. 2. Add 0.5 mL of Digest Buffer 3. Add 15 µL of Proteinase K Solution 4. Mix gently 5. Incubate the sample for 1 hour in a heat block at 56ºC. 6. Add 15 µL of Proteinase K Solution. 7. Incubate the sample at 56ºC for 1 hour. 8. After incubation, remove substrate with a fresh autoclaved stick and discard. Sample Digestion-Hair 1. Wash hair with 1 mL of sterile water in a 1.5 mL microcentrifuge tube. 2. Cut off 1 cm of proximal (root) end for digestion 3. Cut off 1 cm of the shaft adjacent to the root for separate analysis as a control. 4. Add 0.5 mL of Digest Buffer 5. Add 20 µL of 1M Dithiothreitol (DTT) 6. Add 15 µL of Proteinase K Solution. 7. Incubate the samples at 56ºC for at least 6 hours, hair will usually soften but not dissolve after this initial incubation. 8. Vortex samples for 30 seconds. 9. Add an additional 20 µL of DTT 10. Add an additional 15 µL of Proteinase K Solution 11. Incubate at 56ºC overnight until hair is completely dissolved. 12. Vortex for 30 seconds 13. Centrifuge the samples in a microcentrifuge for 1 minute on high speed at room temperature to remove any pigment and particles 14. Transfer the supernatant to a new sterile tube. Sample Digestion-Urine 1. Transferred 50 µL of urine to 1.5 mL microcentrifuge tube. 2. Add 0.5 mL of Digest Buffer to sample 3. Add 15 µL of Proteinase K Solution 4. Incubate samples at 56ºC for 1 hour. 5. Add 15 µL of Proteinase K Solution. 6. Incubate at 56ºC for an addition hour. DNA Extraction 90 1. Add 0.5 ml of Buffered Phenol-Chloroform-Isoamyl Alcohol Solution to sample. 2. Cap the tube and vortex for 15 seconds or until a white emulsion forms. 3. Microcentrifuge on high speed for three minutes at room temperature. 4. Remove the lower phenol-chloroform layer 5. Repeat steps 1-4 three additional times and ensure nothing is visible at the interface and the aqueous layer is clear. 2. DNA Concentration and Wash (Centricon Purification) 1. Assemble a Centricon concentration unit 2. Add 1.5 mL of TE Buffer to upper reservoir 3. Transfer the entire upper aqueous layer containing the DNA to the TE Buffer in the unit 4. Centrifuge at room temperature for 20 minutes in a Hermle Z 323 at 2000 x g. 5. Discard the effluent in the lower reservoir. 6. Add 2 mL of TE Buffer to the concentrated DNA in upper reservoir 7. Centrifuge at room temperature for 20 minutes at 2000 x g. 8. Repeat steps 5-7 for a total of three washes. 9. Collect the concentrated DNA (~15-50 µL) by inverting the upper reservoir into the retention cup and centrifuge for 5 minutes 500 x g. 10. Transfer entire sample to new tube and record volume. 11. Freeze sample until PCR is performed. 3. Quantitation Prepare DNA Quantification Standards 1. Add 30 µL of TE Buffer to 1 tube, and 20 µL of TE Buffer to 7 tubes. 2. Prepare Standard 1: vortex and spin Quantifiler Human DNA Standard and add 10 µL to tube 1, containing 30 µL TE Buffer. 3. Prepare Standards 2-8 by performing a serial dilution (add 10 µL of Std 1 to 20 µL of TE Buffer for Std 2, mix, add 10 µL of Std 2 to 20 µL of Std 3, mix, etc. (Standard 1 generates 50.0 ng/μL of DNA. Standards 2-8 contain the following range of concentrations: 16.7 ng/μL, 5.560 ng/μl, 1.850 ng/μl, 0.620 ng/μl, 0.210 ng/μl, 0.068 ng/μl, and 0.023 ng/μl). Prepare PCR Master Mix (Primer Mix + PCR Reaction Mix) 1. Thaw the Primer Mix, then vortex and spin 2. Place 10.5 of Quantifiler Human Primer Mix per reaction in a tube (10.5µL x X= Y µL) 3. Swirl the Quantifiler PCR Reaction Mix gently 91 4. Add 12.5 µL of Quantifiler PCR Reaction Mix per reaction (12.5µL x X = Y µL), vortex and spin briefly. Prepare Reaction Tubes 1. Dispense 23 µL of the Master Mix into each reaction well on a 96-well plate 2. Add 2 µL of samples, standards and controls in the appropriate wells for plate setup, run all reactions in duplicate in adjacent wells 3. Tap to remove bubbles 4. Seal the reaction plate with an Optical Adhesive Cover 5. Centrifuge plate at 500 x g for approximately 20 seconds 6. Place the Compression Pad over the plate with the brown side up an aligned with plate wells 7. Turn the power on the 7000 and open the program on the computer 8. Position the plate so that the well A1 is in the upper left position, and the notched corner of the plate is in the upper right position. 9. Open the door on the instrument, place plate inside the holder and close the door 10. Open the 7000 SDS Software 11. Open “New” 12. Change the template to the Quantifiler Human 13. Import sample setup 14. “Save As” a template document 15. Click the Instrument Tab 16. Click Start to begin analysis 17. Once qPCR is complete look at the computer generated data, quantities are expressed in µg/µL. When samples are run in duplicate, the two values should be averaged. Thermal cycler parameters: Pre-heat 40 cycles: 95º, 10 minutes 95º, 15 seconds 60º, 1 minute 4. Amplification (ABI GeneAmp® PCR System 9700 Thermal Cycler) AmpFℓSTR®Identifiler™ Hold: 95ºC for 11 minutes (for one cycle), then: denature 94ºC for 1 minute anneal at 59ºC for 1 minute 92 extend at 72ºC for 1 minute (28 cycles) final extension at 60ºC for 60 minutes (1 cycle) soak at 25ºC for ∞ PCR control contains 7 µL of control DNA and 3 µL of TE Buffer. Negative control contains 10 µL of TE Buffer. VOLUME PER REACTION AmpFℓSTR® Reaction Mix 10.5 µL AmpliTaq Gold DNA Polymerase 0.5 µL AmpFℓSTR®Identifiler™ Primer Set 5.5 µL Total Reaction Volume (minus sample)* 15 µL Reaction volume (plus template DNA) 25 µL * Master Mix contains enough sample to compensate for loss during pipetting. PCR MASTER MIX COMPONENTS AmpFℓSTR®Minifiler™ initial denature at 95ºC for 11 minutes (for one cycle) denature at 94ºC for 20 seconds anneal at 59ºC for 2 minutes extend at 72ºC for 1 minute (30 cycles) final extension, 60ºC for 45 minutes soak at 4ºC for ∞ Positive control contains 5 µL of positive PCR control and 5 µL of TE Buffer. Negative control contains 10 µL of TE Buffer. PCR MASTER MIX COMPONENTS AmpFℓSTR® Reaction Mix AmpFℓSTR®Minifiler™ Primer Set Total Reaction Volume (minus sample)* Reaction volume (plus template DNA) * Master Mix contains enough sample to compensate VOLUME PER REACTION 10.5 µL 5.5 µL 15 µL 25 µL 93 Appendix B Permission to use figures from Applied Biosystems and Elvesier. From: "Benfield, Jacquelyn" <Jacquelyn.Benfield@lifetech.com> To: Lisa Branch <ldbranch6@yahoo.com> Sent: Tuesday, June 23, 2009 4:10:40 PM Subject: RE: permission to use AB figures Hi Lisa, Our legal group took a look at the figures and said you just need to reference applied Biosystems and if possible the source…user manual, microsite, etc. Let me know if you have any other questions. And good luck. Jacki This is a License Agreement between Lisa Branch ("You") and Elsevier ("Elsevier"). The license consists of your order details, the terms and conditions provided by Elsevier, and the payment terms and conditions. License number Reference confirmation email for license number License date: Jun 23, 2009 Licensed content publisher: Elsevier Licensed content publication: Genomics, Proteomics & Bioinformatics Licensed content title: A Brief Review of Short Tandem Repeat Mutation Licensed content author: Hao Fan and Jia-You Chu Licensed content date: 2007 Volume number 5, Issue number1, Pages 8 Type of Use : Thesis / Dissertation Portion: Figures/table/illustration/abstracts. Portion Quantity 1 Format : Both print and electronic 94 Elsevier VAT number: GB 494 6272 12 Billing type: Invoice Billing address 281 Candela Circle Sacramento, CA 95835 United States 95 LITERATURE CITED American National Standards Institute. International Standards Organization/International Electrotechnical Commision. ISO/IEC Guide 25:1990, New York: American National Standards Institute, 1990. American Society of Crime Laboratory Directors/Laboratory Accrediation Board. ASCLD/LAB Accreditationi Manuel. 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