May 2004
Office of the Inspector General
Table of Contents
EXECUTIVE SUMMARY
- Background
- Methodology of the OIG's Vulnerability Assessment
- Summary of Findings and Recommendations
- Protocol Vulnerabilities
- Practice Vulnerabilities
- FBI Response to Blake's Misconduct
CHAPTER ONE: INTRODUCTION
CHAPTER TWO: THE ANALYSIS OF DNA
- General Principles of DNA Analysis
- The Structure of DNA
- Overview of the DNA Testing Process
- Short Tandem Repeat (STR) Analysis
- Capillary Electrophoresis
- Standards Governing Forensic DNA Analysis
- Sources of DNA Standards
- Overview of Applicable DNA Standards
- Quality Assurance Standards
- NDIS Requirements
- Accreditation Requirements
- Accreditation and Standards Compliance
CHAPTER THREE: THE FBI's DNA LABORATORY AND DNA PROTOCOLS
- The FBI Laboratory Division
- Structure of the Laboratory Division
- DNA Analysis Unit I
- Organization and Functions
- Operations
- The FBI's DNA Protocols
- Overview of Existing Protocols
- FBI Laboratory Division Quality Assurance Manual
- DNA Analysis Unit I Quality Assurance Manual
- FBI Laboratory Division Caseworking Procedures Manual
- Procedures for the Serological Identification of Biological Substances on Evidentiary Materials
- Short Tandem Repeat Analysis Protocol
- Protocols Designed to Protect the Integrity of the STR Process
- Quality Controls
- Cleaning and Decontamination
- Separation of Sample Sources and of Stages in the DNA Analysis Process
CHAPTER FOUR: JACQUELINE BLAKE'S MISCONDUCT
- Blake's Career With the FBI
- Blake's Misconduct
- Incompletely Processed Controls
- Falsification of Laboratory Documents
- The Impact of Blake's Misconduct
- Why Blake Was Not Caught Earlier
- The Detection of Blake's Misconduct
- How Blake Avoided Detection
- The FBI's Response
- Initial Remedial Actions at the Laboratory
- Identification and Processing of Cases That Required Corrective Action
- Early Reaction and Planning
- Notifications
- Evidence Retesting
- OIG Analysis
- Timeliness of Evidence Retesting and Notifications
- The Sufficiency of Legal Services Provided to the Laboratory in the Month's Following Blake's Detection
- The Scope of the Laboratory's Remedial Actions
- Oversight of Blake's PCR Qualification Testing and Early PCR Work
- Recommendations
CHAPTER FIVE: OIG ASSESSMENT OF THE FBI's DNA PROTOCOLS AND
PRACTICES
- Assessment Foundation and Process
- Objectives
- Selection of Consulting Experts
- Expert Introduction to the Work of the FBI Laboratory
- The Assessment Process
- DNA Unit I Protocols and Practices Identified as Vulnerable to Abuse
- Types of Vulnerabilities Examined
- Analysis of Protocol Vulnerabilities
- Protocols That Lack Sufficient Detail
- Protocols That Fail to Inform the Exercise of Staff Discretion
- Protocols That Fail to Ensure the Precision of Notetaking
- Outdated Protocols
- Summary of Protocol Vulnerabilities
- Implications of DNA Analysis Unit I Protocol Vulnerabilities for DNA Analysis Unit II
- Analysis of Practice Vulnerabilities
- Variations in Team Operations
- Training and the DNA Analysis Unit I's "Oral Tradition"
- Communication and Operational Inefficiencies
CHAPTER SIX: OIG RECOMMENDATIONS
- Management Response Recommendations
- Remedy Protocol Vulnerabilities
- Eliminate Text Vagueness
- Incorporate Decision Aids
- Enhance Notetaking Requirements
- Update Protocols
- Implications for the DNA Analysis Unit II
- Remedy Practice Vulnerabilities
- Promote Greater Consistency in Team Operations
- Formalize Training
- Improve Information Dissemination
- 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