The FBI DNA Laboratory: A Review of Protocol and Practice Vulnerabilities

May 2004
Office of the Inspector General

EXECUTIVE SUMMARY

1. Background

2. Methodology of the OIG's Vulnerability Assessment

3. Summary of Findings and Recommendations
   1. Protocol Vulnerabilities
   2. Practice Vulnerabilities
   3. FBI Response to Blake's Misconduct

CHAPTER ONE: INTRODUCTION

CHAPTER TWO: THE ANALYSIS OF DNA

1. General Principles of DNA Analysis
   1. The Structure of DNA
   2. Overview of the DNA Testing Process
   3. Short Tandem Repeat (STR) Analysis
   4. Capillary Electrophoresis

2. Standards Governing Forensic DNA Analysis
   1. Sources of DNA Standards
   2. Overview of Applicable DNA Standards
      1. Quality Assurance Standards
      2. NDIS Requirements
      3. Accreditation Requirements

3. Accreditation and Standards Compliance

CHAPTER THREE: THE FBI's DNA LABORATORY AND DNA PROTOCOLS

1. The FBI Laboratory Division
   1. Structure of the Laboratory Division
   2. DNA Analysis Unit I
      1. Organization and Functions
      2. Operations

2. The FBI's DNA Protocols
   1. Overview of Existing Protocols
      1. FBI Laboratory Division Quality Assurance Manual
      2. DNA Analysis Unit I Quality Assurance Manual
      3. FBI Laboratory Division Caseworking Procedures Manual
      4. Procedures for the Serological Identification of Biological Substances on Evidentiary Materials
      5. Short Tandem Repeat Analysis Protocol
   2. Protocols Designed to Protect the Integrity of the STR Process
      1. Quality Controls
      2. Cleaning and Decontamination
      3. Separation of Sample Sources and of Stages in the DNA Analysis Process

CHAPTER FOUR: JACQUELINE BLAKE'S MISCONDUCT

1. Blake's Career With the FBI

2. Blake's Misconduct
   1. Incompletely Processed Controls
   2. Falsification of Laboratory Documents
   3. The Impact of Blake's Misconduct
   4. Why Blake Was Not Caught Earlier
      1. The Detection of Blake's Misconduct
      2. How Blake Avoided Detection

3. The FBI's Response
   1. Initial Remedial Actions at the Laboratory
   2. Identification and Processing of Cases That Required Corrective Action
      1. Early Reaction and Planning
      2. Notifications
      3. Evidence Retesting

4. OIG Analysis
   1. Timeliness of Evidence Retesting and Notifications
   2. The Sufficiency of Legal Services Provided to the Laboratory in the Month's Following Blake's Detection
   3. The Scope of the Laboratory's Remedial Actions
   4. Oversight of Blake's PCR Qualification Testing and Early PCR Work

5. Recommendations

CHAPTER FIVE: OIG ASSESSMENT OF THE FBI's DNA PROTOCOLS AND PRACTICES

1. Assessment Foundation and Process
   1. Objectives
   2. Selection of Consulting Experts
   3. Expert Introduction to the Work of the FBI Laboratory
   4. The Assessment Process

2. DNA Unit I Protocols and Practices Identified as Vulnerable to Abuse
   1. Types of Vulnerabilities Examined
   2. Analysis of Protocol Vulnerabilities
      1. Protocols That Lack Sufficient Detail
      2. Protocols That Fail to Inform the Exercise of Staff Discretion
      3. Protocols That Fail to Ensure the Precision of Notetaking
      4. Outdated Protocols
      5. Summary of Protocol Vulnerabilities
      6. Implications of DNA Analysis Unit I Protocol Vulnerabilities for DNA Analysis Unit II
   3. Analysis of Practice Vulnerabilities
      1. Variations in Team Operations
      2. Training and the DNA Analysis Unit I's "Oral Tradition"
      3. Communication and Operational Inefficiencies

CHAPTER SIX: OIG RECOMMENDATIONS

1. Management Response Recommendations

2. Remedy Protocol Vulnerabilities
   1. Eliminate Text Vagueness
   2. Incorporate Decision Aids
   3. Enhance Notetaking Requirements
   4. Update Protocols
   5. Implications for the DNA Analysis Unit II

3. Remedy Practice Vulnerabilities
   1. Promote Greater Consistency in Team Operations
   2. Formalize Training
   3. Improve Information Dissemination
   4. Implement a Laboratory Information Management System

CONCLUSION

GLOSSARY OF TERMS AND ACRONYMS

LIST OF APPENDICIES

Appendix I Complete DNA Profile
Appendix II Interpretation of DNA Analysis Data
Appendix III Forensic and Offender Quality Assurance Standards
Appendix IV NDIS Requirements
Appendix V Scientist Biographies
Appendix VI Checklist and Guidance for Scientists