the state of the fbi laboratory's latent print operation...
TRANSCRIPT
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The State of the FBI Laboratory’s yLatent Print Operation
Four Years after Madrid
Greg L. SoltisChiefChiefLatent Print Operations UnitFBI Laboratory Division
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Objectives
• Review Background of Madrid Error• Summarize Findings
– Department of Justice Meeting– International Panel– Internal Review Teams
OIG– OIG• What has changed?
– MissionO i ti l St t– Organizational Structure
– Case Acceptance / Caseload– Staffing
Processes / Policies / SOPs– Processes / Policies / SOPs• Where to now?• Take-Away
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Background
• March 11, 2004Terrorists bomb several trains in Madrid Spain– Terrorists bomb several trains in Madrid, Spain
• March 13, 2004– LPU receives electronic transmission of digital– LPU receives electronic transmission of digital
images (no info, scale, etc.) • 8 latent prints• Known exemplars
• March 19, 2004– LPU identifies/verifies one latent
fingerprint as a result of an automated search
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Background
• April 13, 2004– Spanish National Police (SNP) issues ‘negativo’
report regarding latent print• What does this mean?What does this mean?• FBI Legal Attaché Madrid interprets
• April 21, 2004April 21, 2004– LPU rep travels to Spain to provide basis of
identification to SNP• What is the reaction? • Again interpreted by Legal Attaché
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Background
• May 6, 2004– Brandon Mayfield arrested by FBI PortlandBrandon Mayfield arrested by FBI Portland
• May 19, 2004 (in California)– Defense expert verifies FBI identificationDefense expert verifies FBI identification
• May 19, 2004– SNP informs FBI they have identified the latent y
fingerprint with another individual– LPU advises FBI Portland of “an issue”
• May 20, 2004– Judge releases Mayfield
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Prints in Question
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Background
• May 22, 2004LPU representatives travel to Madrid to get high– LPU representatives travel to Madrid to get high quality copies of known exemplar and latent
• May 24, 2004– LPU reaches a no value determination with
“available information”• Additional information needed to explainAdditional information needed to explain
discrepancies– Director apologizes to Mayfield and calls for a
review by an international panelreview by an international panel • Sets the tone for a transparent effort at healing
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Background
• June 2004– DOJ Meeting
• June 9, 2004LPU t ti t ith SNP i M d id– LPU representatives meet with SNP in Madrid
– Discuss aspects of latent fingerprint (placement, development technique, etc.)development technique, etc.)
• June 17-18, 2004– International Panel of Experts convened to reviewInternational Panel of Experts convened to review
the process and make recommendations for improvement
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Background
• June 2004– Internal reviews begin
• July 16, 2004LPU i t t b d i f d h t– LPU issues two reports based on info and photos obtained during June visit
• Error with Mayfieldy• Identification with the individual identified by the SNP
• September 2004 – Office of the Inspector General (OIG) investigation
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US D f J iUS Department of Justice Meeting
• Main questions• Main questions– How did this happen?
How do we prevent it from happening– How do we prevent it from happening again?Are there others we don’t know about?– Are there others we don t know about?
– What if the SNP had not identified it with another individual?another individual?
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US D f J iUS Department of Justice Meeting
• As a result of these questions,– Capital offense reviewsp
• May 2004 to date• 436 subjects reviewed
– 1 blind verified with same result1 blind verified with same result– IAFIS research
• Review IAFIS identifications June 1999-September 2004• 16 IAFIS identifications in 14 cases matching exact
criteria of error were searched in IAFIS without the examiner knowing details
• Since then, all single IAFIS searches resulting in an identification have been reviewed (200) and blind verified
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International Panel
• Seven distinguished latent print examiners and forensic experts
• Summary of Panel Reports:– The process (ACE-V) was appropriate, but
misapplied (Practitioner error)misapplied. (Practitioner error)– Power of IAFIS candidate list and correlation
• Confirmation bias or context effect• Mind-set created
– Knowledge of circumstances regarding the latent print should be known for the analysis, e.g., substrate, processing technique, etc
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International Panel
– Need for descriptive ACE-V documentation and bli d ifi tiblind verification
• These reports were used by FBI Laboratory Division• These reports were used by FBI Laboratory Division to identify issues and create eight Internal Review Teams
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Internal Review Teams
FBI Laboratory Chiefs and outside subject matter expertsmatter experts– Reviewed all relevant documents– LPU Chiefs interviewed by each team leader– Final recommendations presented to Lab Director– Reviewed by LPU Chiefs – Once finalized, LPU tasked with addressing and
implementing 156 recommendations
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Internal Review Teams
• Team 1 - Policy for Examining and Reporting Cases with “Less than Original Evidence”Cases with Less than Original Evidence
• Team 2 - Documentation and Case Notes• Team 3 - Technical and Administrative
Review Policy• Team 4 - Management Structure in the LPUs• Team 5 - Training LPU Employees• Team 6 - Corrective Action Reports• Team 7 - Complete SOP Review• Team 8 - Science
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OIG Investigation
• Effort to determine the cause of the errorI t i P• Interview Process– Those involved in the error– Others in the LP UnitsOthers in the LP Units– External experts
• Detailed review of the ACE-V examination as applied to this case
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OIG Conclusions• Primary Causes of the Error
– The unusual similarity of the printsBi f th k i t f M fi ld– Bias from the known prints of Mayfield
– Faulty reliance on extremely tiny (Level 3) details– Inadequate explanations for difference in
appearance– Failure to assess the poor quality of similarities– Failure to reexamine LFP17 following the April 13 g p
SNP “Negativo Report”• Other Potential Sources of the Error
– Lack of quantity standard for an identification– Lack of quantity standard for an identification– Current verification procedures– Working on a high-profile case
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OIG Conclusions
• Found Not to Have Contributed to the Error– No access to the original evidence– Digital image quality
Determination of “no value” because of the lines– Determination of “no value” because of the lines of separation or demarcation
– Faith in the IAFIS technologygy
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OIG Conclusions
• Examiner error– Not a failure of the agency, the system or
the methodology
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What has changed?g
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Mission Priorities
• Pre 9/11– Domestic matters are a major focus
• Post 9/11– Primary focus is to prevent terrorist acts– Result is shift in resources towardResult is shift in resources toward
intelligence activities• FBI Laboratory endures drastic budget
reductions over a five year period
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Organizational Structure
– Organizational structure created d l i blunderlying problems
• Communication• Case Acceptance• Case Acceptance• Caseload
– Reorganization– Reorganization• Three units to two• LPOU for operations• LPOU for operations• LPSU for infrastructure
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Organizational Structure
– Case Acceptance• Eliminate• Burden Share
C l d– Caseload• Pre Madrid – 54 cases per examiner• Today 40 cases per examiner• Today – 40 cases per examiner• TEDAC
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SECRET/RELMNF//XI
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R d id B b•Roadside Bombs•IEDSUICIDE BOMBS•SUICIDE BOMBS
•EFP
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Explosively Formed Projectile (EFP)
5 x EFPs in Foam – 23 Aug 05
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TEDAC Submissions
1200
1400
800
1000
600
800
200
400
02003OCT
2003DEC
2004FEB
2004APR
2004JUN
2004AUG
2004OCT
2004DEC
2005FEB
2005APR
2005JUN
2005AUG
2005OCT
2005DEC
2006FEB
2006APR
2006JUN
2006AUG
2006OCT
2006DEC
2007FEB
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Case Flow in the LPOU1907
2000ases
1907
140015001600170018001900
pen
Crim
inal
Ca
118710001100120013001400
/2003
2004
2004
2004
/2004
2005
2005
2005
/2005
2006
2006
2006
/2006
2007
2007
2007
/2007
2008
2008
Num
ber o
f Op
10/20 1/2
0
4/20
7/20
10/20 1/2
0
4/20
7/20
10/20 1/2
0
4/20
7/20
10/20 1/2
0
4/20
7/20
10/20 1/2
0
4/20
800
900
1000
nth
Cases Completed-Criminal
Cases Received - Criminal
400
500
600
700
800
of C
ases
per
Mon Cases Received - TEDAC
0
100
200
300
3 4 4 4 4 5 5 5 5 6 6 6 6 7 7 7 7 8 8N
umbe
r o
10/20
03
1/200
4
4/200
4
7/200
410
/2004
1/200
5
4/200
5
7/200
510
/2005
1/200
6
4/200
6
7/200
610
/2006
1/200
7
4/200
7
7/200
710
/2007
1/200
8
4/200
8
Month
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C Fl i th L t t P i t U it
TEDAC Teams
Established
Examiners Deployed to Hurricane
Katrina
Madrid Train Bombing
ErrorAll TEDAC
Transferred to Contractors
Case Flow in the Latent Print Unit
900.0
1000.0Cases Completed-Criminal
Cases Received - Criminal
600 0
700.0
800.0
r Mon
th
Cases Received - TEDAC
400.0
500.0
600.0
mbe
r of C
ases
per
100.0
200.0
300.0
Num
0.0
10/20
03
1/200
4
4/200
4
7/200
4
10/20
04
1/200
5
4/200
5
7/200
5
10/20
05
1/200
6
4/200
6
7/200
6
10/20
06
1/200
7
4/200
7
7/200
7
10/20
07
1/200
8
4/200
8
Month
14 New Examiners
Start Casework
All Examiners work TEDAC as a priority
SOP revisions
SOP revisions
SOP revisions
Admin/Tech Backlog
Addressed
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Staffing
• Prior to Madrid– 91 Funded Staffing Levelg– 75 Forensic Examiners– Average years of experience ~ 20– 3 / GS-15s and 12 / GS-14s
• Today67 F d d St ffi L l– 67 Funded Staffing Level
– 60 Forensic ExaminersAverage years of experience ~ 10– Average years of experience ~ 10
– 2 / GS-15s and 21 / GS-14s
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Processes / Policies / SOPs
• Case Acceptance• Bias (Confirmation / Context)• ACE-V• Documentation• Documentation • Blind Verification• Trainingg• Research• SOPs• Cluster Identifications
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Case Acceptance
• No re-examinations• No state and local cases exceptNo state and local cases except
– Services (process or technology) not available– Assistant Director approval requiredpp q
• More rigid acceptance policy for electronically transmitted images or those received on magnetic mediamagnetic media– No more latent comparisons with “Xerox”
copies or facsimiles of latent printsp p
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Case Acceptance
– Electronic images/photographs must• Have a scale or other measurable item• Have a scale or other measurable item• Be the original capture• Be a minimum of 1,000 ppi for latents• Be a minimum of 500 ppi for knowns• Be a minimum 8 bit depth• Indicate the source
– Including lifts – No IAFIS search should be conducted without
scalescale
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Confirmation / Contextual Bias
• Those involved in the error recognized its impact– New concept to us
• Confirmation – “My colleague did, it must be good.”g
• Contextual – “When circumstances indicate it is “logical”
Addressed in our SOP for Friction Ridge Examination• Addressed in our SOP for Friction Ridge Examination – Verification and Blind verification
• Also addressed in our Training Manual and training g gfor manual and automated comparisons
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ACE-V
• Linear approach as opposed to circular– Must declare latent of value before moving to
comparison– To eliminate “cherry picking” or “parachuting in”
• Training Moduleg– Created by new trainees who only received
Ashbaugh’s ACE-V training• Much more emphasis on science andMuch more emphasis on science and
foundation– Reviewed by senior examiners and management
• Concepts were added• Concepts were added• Ashbaugh was available for advice
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Documentation
• Of analysisOn photograph with pointer marks and notations– On photograph with pointer marks and notations
– Value / no value decision made before leaving analysis
• Of individualizations– On photograph with pointer marks and notations
Verifier must use a different photograph and– Verifier must use a different photograph and document their ACE
– Each photograph must be individual to the examiner • Dates and initials
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Documentation
• Complex AnalysisDetermined by the Team Supervisor– Determined by the Team Supervisor• Documented photographically, as outlined
before, with text in the case file and/or on marked enlargements
• All documentation retained in the case file• Automated searches• Automated searches
– Screen dumps• Digital images
– Resolution, compression, source, original capture
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Blind Verification
• Difficult issue to get our arms around• Difficult issue to get our arms around– Can we implement it without bringing
production to a standstill?– When do we use it?
• Several scenarios discussed
• Settled on single conclusions• Settled on single conclusions
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Blind Verification
• In each case where there is a single conclusion that conclusion will be blind verified– One individualization, one exclusion, one
inconclusive• Applies to IAFIS as well• The examiner never knows which they’re getting• Supervisor selects the verifier and provides them
unmarked latent and known prints from which the verifier will reach a conclusion
• Verifying examiner documents process on the photograph
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Training
• Manual has been completely revised to account for the policy and cultural changes– ACE-V module and IAFIS modules were
microscopically scrutinizedmicroscopically scrutinized• David Ashbaugh provided training to the entire
staff in basic ridgeologyg gy• Dr. William Babler provided training on anatomy,
physiology and embriology
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Research
• Research efforts are underway in many areas as• Research efforts are underway in many areas as a result– Permanence– Persistence– Examiner performance– Quality– Quantity
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Processes / Policies / SOPs
• Meaningful policies rather than documents to satisfy an accrediting body’s demands
• SOPs most affected– Training Manual– Case Acceptance– Case Acceptance– Friction Ridge Analysis
• Documentation• Blind verificationd e cat o• Complex analysis• Clusters
– Automated/Digital• Image acceptance• Documentation
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Cluster Prints
• We will note placement only if forensically• We will note placement only if forensically relevant and requested by contributor
• One must stand alone
• Validation studies will be conducted to establish whether or not characteristics can be cumulative in clusters
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Where to now?
• ASCLD/LAB ISO Accreditation August 2, 2008• Continuous Improvement• Continuous Improvement
– Capture blind verification data– Continue to evaluate blind verification process– Continue to evaluate conflict resolution process
• Leadership training and mentoring• Better management of our human resourcesg
– Recognize and promote those responsible for higher level duties
– Build “Team” approach to addressing casesBuild Team approach to addressing cases– Actively manage caseloads
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Where to now?
• Increase our collaboration with the communityNational Academy of Sciences– National Academy of Sciences
– Educational Conferences– Research venues– Federal Laboratory Managers– International Partners in GWOTP id hi h l l i i d l i• Provide high level training and consultation to outside agencies in Daubert preparation
• New examiner training for other Federal Agenciesg g• Pursue additional research
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Take-Away
• The science of fingerprints is sound• The methodology (ACE-V) is sound• The methodology (ACE-V) is sound
– “Analysis” component has been narrowly defined at the FBI Lab
– Blind verification is an extension of ACE-V– How do you address conflict in your agency?
• Care must be taken when using AFIS• Organizational issues matter • Vigilance for continuous improvement
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Take-Away
“We can’t solve problems byWe can t solve problems by using the same kind of thinking
d h t dwe used when we created them.”
- Albert Einstein
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Appreciations and Questions
– Thanks to..• International Association for Identification• Distinguished experts who have assisted us• The men and women of the FBI Latent Print
UnitsUnits– Contact Information
• Greg L. Soltis• 2501 Investigation Parkway• Quantico, VA. USA 22135
703 632 7108 office• 703-632-7108 – office• [email protected]