Strengthening Forensic Science in the United States A Path Forward (2009) / Chapter Skim
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7 Strengthening Oversight of Forensic Science Practice
7 Strengthening Oversight of Forensic Science Practice
Pages 193-216
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From page 193... ...
, for forensics laboratories to meet specific standards for quality assurance or for practitioners to be certified according to an agreed set of standards. Well-publicized problems in large crime laboratories have uncovered systematic deficiencies in quality control. For example, in 2002, the Houston Police Department Crime Laboratory and Property Room came under scrutiny because of a range of quality concerns that created "profound doubts about the integrity of important aspects of the criminal justice system in Harris County." Problems included poor documentation, serious analytical and interpretive errors, the absence of quality assurance programs, inadequately trained personnel, erroneous reporting, the use of inaccurate and misleading statistics, and even "drylabbing" (the falsification of scientific results)
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From page 194... ...
In addition, requirements for quality control can be imposed on entities receiving federal funds, and professional groups can develop codes of ethics and conduct to serve as measures against which performance can be assessed. This chapter addresses some of the traditional approaches used by technical professions to enhance the quality of performance -- accreditation, certification (including proficiency testing)
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From page 195... ...
. Some key elements of CLIA and of other accreditation programs that might be incorporated into a mandatory accreditation system for forensic science include: • national organization that can mediate the accreditation process; a • n application process with criteria by which organizations are a eligible to apply; • process of self-evaluation; a • n external evaluation process, including site visits by external a evaluators; • an appeals process; • a repeat cycle of evaluation and external evaluation, and; • a set of standards by which entities can be evaluated. 42 U.S.C.
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From page 196... ...
Oversight is conducted through onsite inspections of laboratories conducted every two years using federal surveyors or surveyors of deemed organizations or state operated CLIA programs approved for this purpose. Oversight includes a compre hensive evaluation of the laboratory's operating environment and personnel, as well as its proficiency testing, quality control, and quality assurance procedures.
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From page 197... ...
According to the Crime Lab Report, "Because ASCLD/LAB policies and procedures would not allow accreditation to be awarded to a single work unit, laboratories that were not prepared to undergo a full ASCLD/LAB accreditation assessment seemed to have no other alternative but to forfeit access to the DNA database until they were ready for a full accreditation audit." In 1995, the private not-for-profit corporation National Forensic Science Technology Center (NFSTC) was formed by the ASCLD executive board for training, education, and support of accreditation. NFSTC could support and assist crime laboratories preparing for a full ASCLD/LAB accreditation as well as audit and temporarily certify DNA units that complied with DNA-specific quality assurance standards.10,11 NFSTC subsequently formed a new independent accreditation corporation, Forensic Quality Services (FQS)
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From page 198... ...
The following must be in place for accreditation: • rocedures to protect evidence from loss, cross-transfer, contamina p tion, and/or deleterious change; • validated and documented technical procedures; • the use of appropriate controls and standards; • calibration procedures; • complete documentation of all evidence examination; • documented training programs that include competency testing; • technical review of a portion of each examiner's work product; • testimony monitoring of all who testify; and • a comprehensive proficiency testing program.14 The ASCLD/LAB accreditation cycle is five years, with annual reports required from each accredited laboratory that consist of any changes in management, staff, facilities, methodologies, proficiency testing, and testimony monitoring. All accredited laboratories must maintain written copies of appropriate technical procedures, including descriptions of sample preparation methods, controls, standards, and calibration procedures, as well as a discussion of precautions, sources of possible error, and literature references.
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From page 199... ...
members, who tend to work in settings other than traditional crime laboratories, revealed that only 15 percent of respondents are accredited.18 Only a few jurisdictions require that their forensics laboratories be accredited. According to the 2005 census of 351 publicly funded crime laboratories, more than three-quarters of laboratories (78 percent)
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From page 200... ...
, there is a substantial gap in the number of programs participating in accreditation.21,22 As mentioned previously, DNA analysis is regulated under the DNA Identification Act of 1994, which created an advisory board on quality assurance, tasked with promulgating standards for proficiency testing of laboratories and analysts. The terms of the original advisory board expired, and now the FBI Quality Assurance Standards apply to DNA laboratories receiving federal funds.
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From page 201... ...
, originally known as the American Society for Testing and Materials, is an international standards organization that develops and publishes voluntary technical standards for a wide range of materials, products, systems, and services. In the area of forensic science it offers, for example: • tandard Guide for Minimum Training Requirements for Forensic S Document Examiners • Standard Guide for Forensic Paint Analysis and Comparison • Standard Guide for Nondestructive Examination of Paper • tandard Guide for Forensic Analysis of Fibers by Infrared S Spectroscopy • tandard Terminology for Expressing Conclusions of Forensic S Document Examiners At the federal level, the National Institute of Standards and Technology (NIST)
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From page 202... ...
The SWGs create, prepare, and publish standards and guidelines for their constituents in the forensic science community. These documents provide crime laboratories a basis for operational requirements, although the committee found that some standards and guidelines lack the level of specificity needed to ensure consistency.
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From page 203... ...
in 1999. The stated objectives of SWGDRUG include the specifica tion of requirements for forensic drug practitioners, the promotion of professional development, the exchange of information within the forensic science community, the promotion of ethical standards of practitioners, the provision of minimum standards for drug examinations and reporting, the establishment of quality as surance requirements, the consideration of relevant international standards, and the promotion of international acceptance of SWGDRUG recommendations.
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From page 204... ...
Notably, the use of DNA testing of hair is advised only after an initial microscopic analysis is conducted. In contrast to the larger forensic science community's recent interest in blind testing and statistical verification, SWGMAT proposes the following approach: The examiner should con sider what meaning can be attached to an exclusion or association based upon
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From page 205... ...
Accepted guidelines are reconsidered five years after adoption. Existing SWGFAST guide lines address automation training, digital imaging, friction ridge analysis for latent print examination, latent print proficiency testing, professional conduct, minimum qualifications and competency for latent print trainees, quality assurance, inter pretation and conclusions, and validation research.f Like all other SWG documents, SWGFAST's guidelines have no inherent authority or force of law.
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From page 206... ...
It is worth noting that several studies have assessed or published crime laboratory proficiency testing results, which generally reveal the need for improvement; J.L. Peterson, E.L.
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From page 207... ...
panel designed blind tests, evaluated them, and estimated it would cost $500,000 to $1 million annually for one test per laboratory.32 In appropriate circumstances, proficiency testing should include blind testing. ASCLD/LAB has a detailed proficiency testing program that requires all active examiners to take at least one proficiency test per year (two tests per year in DNA)
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From page 208... ...
One of the means by which ASCLD/LAB monitors compliance is by reviewing proficiency testing reports submitted by approved test providers. According to the 2002 BJS census,33 274 of the 351 publicly funded laboratories were engaged in proficiency testing.
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From page 209... ...
In addition, IAI supports certification of forensic science practitioners.37 Some organizations, such as the American Board of Criminalists (ABC) , offer examiner certification programs, but some certification organizations appear to lack stringent requirements.38 In response, the American Academy of Forensic Sciences has formed a Forensic Specialties Accreditation Board to accredit certifying organizations.
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From page 210... ...
) Each of these entities has specific educational, training, and experience requirements, including a series of competency tests -- both written and practical -- and participation in proficiency testing, and provide continuing education/active participation by means of publication, presentation, and membership in professional organizations.
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From page 211... ...
NIJ's FY 2005 Coverdell Grant Program Announcement did not give applicants necessary guidance on what constitutes an independent external investigation or how to make the required certification. In addition, the announcement did not provide examples of external investigation certifi cations and did not require an applicant to name the government entity responsible for conducting independent, external investigations.
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From page 212... ...
(May 1989) addressed a range of ethical dilemmas facing individuals practicing science in the criminal justice system.
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From page 213... ...
2. Require that each Coverdell Grant applicant, prior to receiving funds, provide the name of the government entity with a process in place to conduct independent external investigations into allegations of serious negligence or misconduct.
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From page 214... ...
, in conjunction with government laboratories, universi ties, and private laboratories, and in consultation with Scientific Working Groups, to develop tools for advancing measurement, validation, reliability, information sharing, and proficiency testing in forensic science and to establish protocols for forensic examina tions, methods, and practices. Standards should reflect best prac tices and serve as accreditation tools for laboratories and as guides for the education, training, and certification of professionals.
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From page 215... ...
should be allowed to practice in a forensic science discipline or testify as a forensic sci ence professional without certification. Certification requirements should include, at a minimum, written examinations, supervised practice, proficiency testing, continuing education, recertification procedures, adherence to a code of ethics, and effective disciplinary procedures.
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