Report

Teaser, summary, work performed and final results

Periodic Reporting for period 3 - EXCHANGE (Forensic Geneticists and the Transnational Exchange of DNA data in the EU: Engaging Science with Social Control, Citizenship and Democracy)

Teaser

CONTEXT AND RESEARCH TOPICThe EXCHANGE project seeks to address the challenges to citizenship, democracy and social control posed by technological systems of surveillance and control of criminality and terrorism. The European Union (EU) has invested in the creation of a...

Summary

CONTEXT AND RESEARCH TOPIC

The EXCHANGE project seeks to address the challenges to citizenship, democracy and social control posed by technological systems of surveillance and control of criminality and terrorism. The European Union (EU) has invested in the creation of a pan-European system for the transnational exchange of forensic data between Member States for the purpose of combating cross-border crime, terrorism and illegal migration: the so-called Prüm system, relying on the permanent and automated exchange of information between Member States, namely of DNA profile data, fingerprints, and vehicle registration data. The EXCHANGE project focuses on DNA data insofar as the Prüm Decisions have widened the scope of DNA profiling and databasing as an increasingly important tool for criminal investigation and criminal justice systems. At present, there are 23 operational EU Member States exchanging DNA data.
Prüm Decisions support the EU objectives to accelerate the creation of a so-called ‘area of freedom, security and justice’, and are open to other EU States that are outside the Schengen area. In other words, the exchange of DNA data in the EU aims to strengthen cooperation among Member States in order to fight transnational threats to collective security. While focusing on the role of forensic genetics and technology in the implementation of an ‘area of freedom, security and justice’, the EXCHANGE project investigates the new and old challenges provoked by this scenario to social control, citizenship and democracy in contemporary societies.
The EXCHANGE project adopts a perspective based on science and technology studies (STS) that aims to examine the co-production of science, technology and social order. The project team is also engaged in developing interdisciplinary and ground breaking knowledge, at the intersection of social sciences and forensic genetics. Therefore, one important goal of the EXCHANGE project is to develop and apply innovative theoretical and methodological tools throughout the research process based on an iterative approach of empirical analysis and continuous critical reflection.

IMPORTANCE FOR SOCIETY

The research topic of the EXCHANGE project tackles a social phenomenon that is highly relevant for present societies: the close links between a highly-specialised field of expert knowledge – forensic genetics and the underlying assumption of the infallibility of DNA evidence – and surveillance in the EU in the 21st century. One prominent aspect is the fact that the transnational exchange of forensic DNA data in the EU through the so-called Prüm system builds on the assumption that all EU States will share their resources and will be united in pursuing a common goal through cooperation for the creation of an area of freedom, security and justice. At a time when the vision of European integration is under considerable strain, studying the ethical, legal, regulatory, societal and political challenges of the Prüm Decisions appears to be particularly relevant.
GENERAL OBJECTIVES

The EXCHANGE project has the following general objectives:
1. Provide a general picture of the implementation of the Prüm Decisions in the EU;
2. Develop in-depth knowledge of forensic geneticists’ views and practices relating to Prüm, by resorting to interviews, ethnographic observation and analysis of criminal cases;
3. Understand national positioning in relation to Prüm by means of a comparative study involving Germany, the Netherlands, Poland, Portugal, and the United Kingdom (UK).
The EXCHANGE project stimulates interdisciplinary dialogue between the social sciences and forensic genetics. This research tackles questions that are relevant to the actors involved in criminal justice cooperation in the EU. Research results might also inform governance and policy-making founded on a respect for human rights, transparency and public trust.
In order to address the above-mentioned objectives, the EXCHANGE p

Work performed

The work performed during the reporting period has fully accomplished the objectives and the timeline defined in the Action. Results can be divided in five specific stages:
(1) Inception;
(2) Design of the theoretical-analytical framework and methodological tools of the research;
(3) Fieldwork;
(4) Production and dissemination of preliminary results and development of the research impact;
(5) Transfer of the team to a new host institution.

In the period of month 1 to month 24, the EXCHANGE project was based at the Centre for Social Studies, University of Coimbra. Due to the PI’s promotion to a Full Professor position at the University of Minho, the EXCHANGE project moved to a new host institution. Therefore, between month 25 and month 30, the work performed by the team continued at the University of Minho.

1. INCEPTION
PERIOD: Months 1 to 4.

The inception period involved defining the management structure of the project and comprised the following activities:
(a) Setting up the Team. The PI and 2 senior researchers together with the technical support of the first host institution - CES Project Management Office defined the recruitment strategy for the research team. The guidelines were defined in order to ensure the presence of researchers with skills in qualitative methods and previous research experience in social studies of crime or social studies of science and technology. The EXCHANGE project hired 2 post-docs, 4 PhD students, and 1 research manager.
(b) Constitution of the Scientific Advisory Committee. The EXCHANGE project benefits from the support of a Scientific Advisory Committee (SAC) of internationally renowned forensic experts and social scientists who provide advice to the team at various stages of the project. Members of SAC are: Amade M’ Charek (University of Amsterdam, NL); Barbara Prainsack (University of Vienna, AT); Peter Schneider (University of Cologne, DE); Kees van der Beek (Netherlands Forensic Institute, NL); Robin Williams (Northumbria University, UK).
(c) Definition of Guidelines for individual and Teamwork. The definition of general and practical aspects of the project development and implementation included: (i) designing guidelines for joint team work; (ii) defining authorship rules; (iii) creating a shared data archive with the goal of collecting and sharing common documents; (iv) establishing a bibliographic database with the support of the program Mendeley; (v) and elaborating annual individual work plans for each researcher which mirror the distribution of thematic areas and case studies. These plans are, therefore, connected to the overall and particular goals of the project and define the researchers’ commitments and expected outputs.

2. DESIGN OF THE THEORETICAL-ANALYTICAL FRAMEWORK AND METHODOLOGICAL TOOLS OF THE RESEARCH
PERIOD: Months 9 to 15. Updating: Months 16 to 30.

A fundamental objective for the implementation phase of the project was to build a team of researchers with a solid knowledge basis to understand the topic of the project, and with the necessary theoretical and methodological skills to engage in the empirical fieldwork. To achieve this objective, the following activities took place:

(a) Organization of an Internal Training Course on the Core Research Topics related to the EXCHANGE project (October 2015 to April 2016). A Course on Social Studies of Forensic Genetics has been specifically designed by the PI as a means to gain a thorough knowledge of key theoretical concepts and thematic issues related to the core topic of the EXCHANGE project, and to develop awareness of the international scientific and non-academic debate on key topics of interest to the project. This training plan was carried out on a weekly basis between October 2015 and April 2016 in thematic sessions covering all relevant subjects in the domain of the investigation. The strategy for the training of the team involved internal discussions but also intensive interaction with the i

Final results

PROGRESS BEYOND THE STATE OF THE ART

The EXCHANGE project is highly committed to developing theoretical and methodological tools that produce results that serve the purpose of developing interdisciplinary and ground breaking knowledge. The innovative nature of the project activities was fulfilled by conducting theoretical reflection and critical analytical thinking over the following research questions, which allows to achieve progressive results beyond the state of the art:
- What are the main characteristics of the “genetic age” of criminal investigation? Which new and old ways of investigating crime do emerge from the exchange of genetic data (and personal data) at a transnational level? How is Prüm expected to help with criminal investigations and what types of crimes can be solved with the help of Prüm DNA exchange?
- What are the main challenges in trying to implement and achieve the harmonization and stabilization of the uses of DNA technologies in the EU within a scenario where divergences and asymmetries still exist on several levels? What is the role of private companies in supporting the provision of forensic services? Which new types of interactions emerge between laboratories and forensic practitioners on the one hand, and the police forces and the criminal justice system on the other hand?
- How are human rights framed in distinct countries? Which new rights and duties emerge within the transnational data exchange? How is techno-scientific development within forensic genetics accompanied (or not) by due legal, regulatory, and ethical governance?
- How does Prüm facilitate a standardization of forensic genetics – and a mainstreaming of genetic surveillance across European democracies? How do countries with different forensic and democratic cultures respond to it? What do different countries do to address the dilemma of finding transparent and accountable governance solutions to create a balance between the limitation of citizenship and human rights of some on the one hand, and the safety and integrity of the majority of society on the other hand?
- How are citizens and stakeholders affected by societal and ethical implications of DNA technologies and DNA data exchange across the EU? What is the role of the media and how does it shape the public discourse about these technologies?
- Finally, what are the old and new challenges of DNA evidence in the criminal justice system emerging from transnational DNA data exchange? What risks and benefits are perceived taking into account the fact that DNA data travels between labs and criminal justice systems of distinct countries?
Up to this point, some of these questions have been part of EXCHANGE’s preliminary findings. In particular, the team has been publishing on the following themes, which go beyond the state of the art:
1. Overview of transnational patterns of DNA data of exchange in the EU, showing that most of the volume of exchanges and DNA profile matches have occurred in central European countries which have taken lead roles in the implementation of Prüm;
2. Analysis of controversies on the ethical aspects of the operations of Prüm, demonstrating that forensic practitioners’ accounts on ethics can be understood as socially embedded in the ways through which the sociality of science is activated and the scientific work legitimized;
3. Regimes of data protection in the EU, considering how, in a context of legislative and jurisdictional diversity among Member States, the processes of technological harmonisation produce neutralizing effects of the legislative, technical, cultural and political differences;
4. Multiple forms of the criminalization of populations involved in transnational movements within the EU, presented in the narratives of professionals in charge of operating the so-called Prüm system;
5. Differentiated provision of forensic services in the EU, outlining the character of the relations between the providers of forensic service

Website & more info

More info: http://exchange.ics.uminho.pt.