FBI Has a Framework In Place To Help Ensure Quality In Its Forensic Examinations of Chemical and Trace Evidence

The FBI Laboratory has established a quality assurance framework  through its policies and procedures to help ensure quality in its forensic  examinations of chemical and trace evidence. ASCLD/LAB accreditation results and our review of the framework found  it to meet international and accreditation standards. The FBI Laboratory’s quality assurance framework consists of  several components: policies and procedures, quality assurance  mechanisms, corrective actions to address nonconformities, and training  requirements designed to ensure quality in its forensic examinations. FBI Laboratory Generally Ensures Chemistry and Trace Evidence Units Adhere to Quality Standards, but Could Review More Testimonies

We found that the FBI Laboratory generally ensures the Chemistry and  Trace Evidence Units adhere to a variety of quality standards, including  conducting audits, implementing corrective actions, ensuring staff have  appropriate training, and reviewing laboratory reports. However, the  Laboratory’s testimony monitoring program is limited by difficulties in  acquiring testimony transcripts. Based on our review of internal audit reports from 2008 to 2015 we found  that all of the internal audits of the Chemistry and Trace Evidence Units  functioned in accordance with FBI policies and procedures, and  international standards. We  reviewed the initial training records for the 47 employees who conducted  casework in the Chemistry and Trace Evidence Units or provided court  testimony related to chemical or trace evidence from fiscal year 2011 to  July 2016 and found that the records were generally complete and met  FBI requirements. FBI Laboratory Has Processes to Review Laboratory Reports and Testimony, but Could Review More Examiner Testimonies

The FBI Laboratory implemented a monitoring program to help ensure  that the results of its forensic examinations and any related examiner  testimony are presented consistently with what is known about each  forensic method. From fiscal years 2011 through 2015, a total of 22 forensic examiners in  the FBI Laboratory’s Chemistry and Trace Evidence Units produced a  total of 164 testimonies. However, the FBI Laboratory did not acquire  transcripts and conduct internal evaluations for nearly half of these  testimonies (78 of 164). To better understand the factors cited by the FBI Laboratory,  we sought to obtain the remaining 78 transcripts directly from the courts. However, while attempting to obtain the  outstanding transcripts, we also confirmed some of the reasons the FBI  identified for not acquiring transcripts. Consistent with internal control standards, the  FBI Laboratory could better ensure that it obtains more transcripts by  routinely capturing and using additional information and data that are  critical to their acquisition, such as the reason a transcript is unavailable,  when it is expected to be available, the court jurisdiction, and a point of  contact for the transcript. Increasing the number of transcripts acquired  could help the FBI Laboratory expand its monitoring of examiners’  testimonies, which helps ensure that they are accurate, supported by the  underlying analyses, and within the scientific limits of the given forensic  discipline, as defined by FBI and accreditation standards. Recommendation for Executive Action

To better ensure that the FBI Laboratory obtains additional transcripts,  the FBI Director should require that the FBI Laboratory’s procedure for  tracking and obtaining transcripts routinely captures and uses additional  information and data critical to transcript acquisition, such as the reason a  transcript is unavailable, when it is expected to be available, the court  jurisdiction, and a point of contact for the transcript. Agency Comments

We provided a draft of this report to the Departments of Justice and  Commerce. FBI concurred with the recommendation,  and described actions planned to address it. 2. 5.
Why GAO Did This Study

The FBI Laboratory, within the Department of Justice (DOJ), is responsible for analysis of forensic evidence for the FBI, other parts of DOJ, and domestic law enforcement agencies, among others.
GAO was asked to examine how the FBI Laboratory ensures the reliability of its forensic examinations, in particular within its Chemistry and Trace Evidence Units. For these two units, this report addresses (1) how the FBI Laboratory works to ensure quality in conducting forensic examinations, and (2) the extent to which it has taken steps to ensure adherence to the FBI Laboratory's quality standards.
GAO reviewed policies and procedures of the FBI Laboratory and its Chemistry and Trace Evidence Units; audit and accreditation reports from 2008, when the Laboratory was accredited to international standards, through 2015, the most recent available; the training records of all 47 staff who conducted casework in these two units from fiscal year 2011 to July 2016, the most recent available; and evaluation records for examiner testimonies and related laboratory reports in these two units from fiscal years 2011 to 2015, the 5 fiscal years prior to this review. GAO also independently sought to obtain testimony transcripts the FBI was unable to obtain for this period.

What GAO Found

The Federal Bureau of Investigation (FBI) Laboratory has a framework in place to help ensure quality in its forensic examinations of chemical and trace evidence. Based on accreditation results and GAO's review, the framework meets international and accreditation standards. The FBI Laboratory quality assurance framework consists of policies and procedures, quality assurance mechanisms, corrective actions, and training requirements that are designed to ensure quality in its forensic examinations and related activities (see figure). The framework includes policies, procedures, and training specific to each unit of the Laboratory, such as the Chemistry and Trace Evidence Units.
GAO found that the FBI Laboratory generally ensures the Chemistry and Trace Evidence Units adhere to quality standards for conducting forensic examinations, including conducting audits, implementing corrective actions, ensuring staff have appropriate training, and reviewing laboratory reports. However, the Laboratory's program to review examiner testimonies to ensure they are accurate and within the scientific limits of the given forensic discipline is limited by difficulties in acquiring testimony transcripts. Specifically, the Laboratory did not acquire transcripts and conduct internal evaluations for nearly half of the testimonies (78 of 164) given by Chemistry and Trace Evidence Unit examiners from 2011 through 2015, citing difficulties in locating transcripts and lack of response from courts. To better understand these factors, GAO sought and obtained almost half of the 78 transcripts (36 of 78). While attempting to obtain the remainder, GAO confirmed some of the difficulties identified by the FBI. Consistent with internal control standards, the FBI Laboratory could better ensure it obtains more transcripts for review by routinely capturing and using additional information that is critical to transcript acquisition, such as court jurisdiction and points of contact. Obtaining additional transcripts could help the FBI Laboratory expand its monitoring of examiner testimonies to help ensure the testimonies are accurate and within scientific limits, as defined by FBI and accreditation standards.

What GAO Recommends

GAO recommends that the FBI Laboratory's transcript acquisition procedure routinely capture and use additional information critical to transcript acquisition. The FBI concurred with our recommendation and described planned actions for implementation.