ISO/IEC ACCREDITATION REQUIREMENTS FOR FORENSIC INSPECTION BODIES

Transcription

1 ISO/IEC ACCREDITATION REQUIREMENTS FOR FORENSIC INSPECTION BODIES AUTHORITY: VICE PRESIDENT EFFECTIVE DATE: 2015/02/02 DOCUMENT NUMBER: MA 3012

2 TABLE OF CONTENTS Foreword Application Accreditation and Surveillance Assessment Scope of Accreditation Proficiency Testing/Inter-Agency Comparisons Measurement Traceability Guidance on the Application of ISO/IEC ANAB Field-Specific Criteria Supplemental Requirements for Crime Scene Investigation, Friction Ridge, Firearms, Digital and Multimedia, Handwriting, human identificaiton and Anthropology Examinations ANAB ISO/IEC Forensic Supplemental Requirements and Notes Page 2 of 45

3 FOREWORD This manual and MA 2001, ANAB Accreditation Manual for Laboratory-related Programs, define all mandatory requirements for forensic ISO/IEC accreditation. This manual is based on the current version of ISO/IEC 17020, Conformity assessment Requirements for the operation of various types of bodies performing inspection; ILAC P15, Application of ISO/IEC 17020, for the Accreditation of Inspection Bodies; and ILAC G19, Modules in a Forensic Science Process. For more information, contact the ANSI-ASQ National Accreditation Board, 500 Montgomery Street, Suite 625, Alexandria, Virginia, 22314, USA, telephone , facsimile , See also ANAB Guidance on ISO/IEC Accreditation for Forensic Inspection Agencies. All references to ISO, ILAC, and ANAB documents and other controlled materials are to the current issues of the documents. Most ANAB documents are accessible free of charge at ILAC documents are accessible free of charge at Page 3 of 45

4 1. APPLICATION 1.1. The forensic science process includes, but is not limited to: Initial discussion regarding scene of crime attendance Initial actions at the scene of crime Developing a scene of crime investigation strategy Undertake scene of crime investigation Assess scene of crime findings and consider further examination Interpret and report findings from the scene of crime Examination, testing and presumptive testing (including appropriate case assessment) Interpretation of the result of examinations and tests Report from examinations and tests including interpretation of results 1.2. Inspection areas for which accreditation may be applied include but are not limited to: 1. Crime scene investigations 2. Environmental contamination scenes 3. Recovery and comparison of latent fingerprints 4. Recovery and comparison of fraction ridge evidence 5. Tenprints 6. Examination of firearms and related items 7. Examination of digital media 8. Human identification 9. Anthropology 10. Medical examiner 11. Handwriting 1.3. An application is required and should be submitted in electronic format when possible and include the following: Locations to be covered by the accreditation Proposed scope of accreditation Quality manual and associated operating procedures, however named Uncertainty budgets, if applicable/the scope includes calibration Proficiency testing/inter-forensic unit comparison activity Testing areas for which accreditation is sought Number of proficiency-tested personnel in each testing area 1.4. Separate applications are required for each accreditation location. Physical locations in close proximity can be considered one location (to be determined by ANAB). See also ANAB Guidance for Classification and Assessment of Multi-Site Laboratories During review of the application, ANAB determines if additional information is required. After final review, ANAB acknowledges receipt of the application and ensures that all customer expectations can be met, including the customer s desired scheduling ANAB accreditation activities shall be confined to the draft scope of accreditation agreed on during the opening meeting of the initial accreditation assessment. Page 4 of 45

5 1.7. Separate applications are required for each accreditation location. Physical locations in close proximity may be considered one location (to be determined by ANAB). 2. ACCREDITATION AND SURVEILLANCE ASSESSMENT 2.1. The ANAB accreditation period is two to five years depending on the maturity of the agency management system During the accreditation assessment, ANAB samples the agency s quality and technical management system and determines through interviews and by reviewing procedures, data, and records whether or not the customer s system is effectively implemented and meets applicable requirements. The accreditation assessment consists of: Thorough review of the customer s compliance to the accreditation requirements Opening meeting with the customer s management Daily assessor meetings and customer debriefings Review of any open OFIs from the document review and planning visit, if applicable Verification of recent (within one year) PT/ILC participation for at least one of the proposed scope parameters/categories /the categories identified in the proposed scope, if available Review of the laboratory s four-year plan for PT/ILC participation, if applicable Verification of competence in estimating measurement uncertainty, if applicable Review of uncertainty budgets or other calculations of measurement uncertainty, as applicable, to ensure that they are available and adequate for all relevant proposed scope parameters Review of the format of proposed accredited certificates/reports (with data) and non-accredited certificates/reports, if applicable, available Witnessing of the proposed scope of accreditation to assess technical competence Visit to any satellite site facilities identified by the customer in the application to witness calibrations/tests, as appropriate Visit to a customer location to witness on-site calibrations/tests, when applicable Final assessment team meeting to discuss findings Document listing all nonconformities signed by both the Lead Assessor and the customer at the conclusion of the closing meeting Recommendation to accredit pending CAR resolution, accredit no CARs required, or not to accredit, or to accredit pending resolution of any nonconformities Closing meeting 2.3. ANAB typically provides the assessment schedule and plan to the customer approximately 30 days prior to the assessment. The assessment team conducts the assessment. The Lead Assessor is responsible for preparing uploading the assessment report, which is submitted via EQM within seven calendar days after the completion of the assessment. The Lead Assessor and assessment team members shall also upload their expense report, which is submitted via EQM within seven calendar days after the completion of the assessment. Page 5 of 45

6 2.4. During the assessment, ANAB assessors use the appropriate assessment checklist to document how each requirement is met while in the areas being assessed, and they use the OPIEF form to document witnessing. Assessor notes are kept on the assessment checklist and OPIEF form After the initial year of accreditation, each inspection body shall undergo, at a minimum, a one-day surveillance assessment to ensure that the customer s organizational management system is maintained and remains effective The surveillance assessment covers specific sections of ANAB s ISO/IEC checklist based on the minimum ANAB-required sections and any additional sections added as a result of the assessor s review of customer records. At a minimum, ANAB surveillance assessment checklist requirements include the following ISO/IEC subjects and clauses: 7.5 and 7.6, Complaints 8.7, Corrective Action 8.6, Internal Audit 8.5, Management Review 7.2, Handling inspection items and samples Proficiency testing 7.3, Inspection records and reports Use of the ANAB Symbol and ILAC Forensic Unit Combined MRA Mark 2.7. In the case of a second consecutive surveillance, key sections not assessed in the previous surveillance should be included based on review of customer history. 3. SCOPE OF ACCREDITATION 3.1. An inspection body s scope of accreditation is a document specifically stating the disciplines or parameters that have been verified by ANAB. 4. PROFICIENCY TESTING/INTER-AGENCY COMPARISONS 4.1. Proficiency testing (PT) is not necessarily relevant in many circumstances in the inspection body arena. However, agencies accredited by ANAB are expected to participate annually in PT or other interagency comparisons when relevant, except when this is not reasonable or possible PT/ILC Requirements Any forensic unit applying for accreditation shall show evidence of participation in relevant proficiency testing (if available). When available, participation in at least one PT/ILC is to be completed prior to the granting of initial accreditation. Results shall be reported to ANAB within six months of initial accreditation When required, agencies accredited by ANAB are expected to select PT providers that can demonstrate their programs are accredited and comply with the requirements of the current version of ISO/IEC Acceptable PT providers are accredited to ISO/IEC by ANAB or another Page 6 of 45

7 accreditation body that is a signatory of the ILAC, APLAC, and/or IAAC MRA for calibration or testing When appropriate accredited PT providers are not available, agencies should use programs that operate in accordance with ISO/IEC ANAB reserves the right to require mandatory participation of any accredited forensic unit in any future proficiency program that may be mandated or administered by APLAC, ILAC, or IAAC When a selected proficiency test provider is not accredited, the forensic unit shall seek ANAB concurrence that the organization conducting the PT or inter-forensic unit comparison is competent in accordance with the current version of ISO/IEC For additional guidance, see ANAB Guidance on Proficiency Testing/Inter-Agency Comparisons (available on ANAB s website) Any forensic unit that is unable to locate a suitable PT provider or requires assistance in selecting a suitable PT provider should contact ANAB for assistance Definitions Proficiency testing (PT): Evaluation of calibration or test results against pre-established criteria by means of inter-agency comparisons A forensic unit s participation in PT enables the forensic unit to assess and demonstrate the reliability of the resultant measurement data by comparison with results from other participating laboratories. Ideally in PT programs, agencies are given in their reports independent feedback on potential biases in their measurement systems PT is most often used to assess a forensic unit s capability to perform competent tests or measurements. The data resulting from a proficiency test may be used by the accreditation body, a forensic customer, or the forensic unit itself, and thus can supplement the forensic unit s internal quality program. Customers of forensic units desire confidence that the services they are receiving are reliable and accurate Major discipline: Defined as inspection Major sub-discipline: Parameters falling within the major discipline of inspection defined in the forensic unit s scope under the heading of category. Some examples of categories include crime scene investigations, firearms, latent prints, etc Also see the current version of ILAC-P9, ILAC Policy for Participation in Proficiency Testing Activities (available at PT/ILC Requirements Agencies shall submit the results of PT to ANAB via EQM. Assessors shall verify that up-todate information is in EQM and ask that a completed ANAB FM 2015, PT/ILC Four-year Plan, be attached in each assessment If PT is not available for a particular measurement discipline or parameter through existing PT programs, internal performance-based data demonstrating the forensic unit competence and measurement performance in comparison with another forensic unit can be substituted for achieving Page 7 of 45

8 and/or maintaining accreditation. When comparisons with another forensic unit are not feasible, the forensic unit shall use other methods to assess the quality of its output to meet the requirements of the standard. The forensic unit should ensure that normal PT/ILCs takes place in the future when a feasible forensic unit comparison becomes available. FM 2040 is used to report alternate quality measures to ANAB for approval For agencies with multiple sub-categories accredited (see Inspection Body Major Areas of Accreditation on the ANAB ISO/IEC application form), PT participation is required in each sub-category at least once every four years. If governmental or industry-specific requirements dictate that other testing comparisons or other frequency of comparisons be performed, affected agencies are held to those requirements as well. Such participation may replace the annual and four-year requirements ANAB Program Requirements The forensic unit is required to show evidence of successful participation in relevant PT (if available) prior to initial accreditation. Where available, participation in at least one PT/ILC is to be completed prior to the granting of initial accreditation. Results shall be reported to ANAB within six months of initial accreditation Customers shall submit the results of proficiency testing to ANAB via EQM. Assessors shall verify up-to-date information is in EQM and ask that a completed ANAB FM 2015, PT/ILC Fouryear Plan, be attached in each assessment When required, forensic units accredited by ANAB are expected to select PT providers that can demonstrate their programs are accredited and comply with the requirements of the current version of ISO/IEC Acceptable PT providers are accredited to ISO/IEC by ANAB or another accreditation body that is a signatory of the ILAC, APLAC, and/or IAAC MRA for calibration or testing When appropriate accredited PT providers are not available, forensic units should use programs that operate in accordance with ISO/IEC ANAB reserves the right to require mandatory participation of any accredited forensic police unit in any future proficiency program that may be mandated or administered by APLAC, ILAC, or IAAC When a selected proficiency test provider is not accredited, the customer shall seek ANAB concurrence that the organization conducting the PT or inter-agency comparison is competent in accordance with the current version of ISO/IEC Any forensic unit that is unable to locate a suitable PT provider or requires assistance in selecting a suitable PT provider should contact ANAB for assistance See the current version of ILAC-P9, ILAC Policy for Participation in Proficiency Testing Activities (available at For further guidance, see ANAB Guidance on Proficiency Testing/Inter-Agency Comparisons (available at During the accreditation process, surveillance, and reassessments, ANAB assessors review all related PT activities and noncomformities or corrective action that arise from these activities. The customer needs to provide ANAB with reports, data, and evidence of their related activities at each Page 8 of 45

9 ANAB visit. ANAB requires the customer to take prompt action on any issues or problems identified related to PT comparisons For PT programs that report results in the form of number of standard deviations from the mean of all results, in most cases three or more standard deviations is considered an outlier and requiring corrective action. Also, for agencies that participate in proficiency testing and a failure or outlier results, the forensic unit in most cases is expected to repeat participation in such testing in a reasonable timeframe. If the repeat participation results in unsatisfactory reporting a second time, this may result in removal of that inspection area from the scope of accreditation. Subsequent satisfactory results may then initiate a process to reinstate an area on the scope of accreditation. 5. MEASUREMENT TRACEABILITY 5.1. All measurements where the results of such measurements have a significant influence on the results of the inspection shall be traceable to NIST. In such instances, the ANAB policy on traceability shall apply. ANAB Guidance on Uncertainty and Traceability for Forensic Agencies Definitions Metrological traceability: Property of a measurement result whereby the result can be related to a reference through a documented unbroken chain of calibrations, each contributing to the measurement uncertainty. [JCGM 200:2012] Measurand: Quantity intended to be measured. [JCGM 200:2012(E/F)] Measurement uncertainty (MU): Non-negative parameter characterizing the dispersion of the quantity values being attributed to a measurand, based on the information used. [JCGM 200:2012(E/F)] Calibration and measurement capability (CMC): (Calibration and measurement capability available to customers under normal conditions (a) as published in the BIPM key comparison database (KCDB) of the CIPM MRA or (b) as described in the forensic unit s scope of accreditation granted by a signatory to the ILAC Arrangement. [CIPM MRA-D-04, Version 2 (2011), Calibration and Measurement Capabilities in the context of the CIPM.] 5.3. Traceability Traceability is a process whereby the indication of a measuring instrument (or a material measure) can be compared with a national standard for the measurand in question in one or more stages Traceability is characterized by a number of essential elements: There must be an unbroken chain of comparisons going back to a standard acceptable to the parties, usually a national or international standard and ending with laboratory working reference standards used in a metrology laboratory MU for each step in the traceability chain must be calculated according to defined methods and must be stated so that an overall uncertainty for the whole chain may be calculated. Page 9 of 45

10 Each step in the chain must be performed according to documented and generally acknowledged procedures. The results must be equally documented (calibration certificate or test report). Laboratories performing one or more steps in the chain must supply evidence for their technical competence. Accreditation by an ILAC signatory accreditation body is considered evidence of technical competence within the scope of accreditation. Appropriate standards must be primary standards (national, international, or intrinsic) for the realization of the SI units, or derived from said standards. Calibrations must be repeated at appropriate intervals, the length of which depends on a number of variables (uncertainty required, frequency of use, type of use, stability of equipment, etc.) Calibration Certificates and Test Reports To demonstrate measurement traceability, calibration certificates shall indicate traceability to national or international standards of measurement and provide the result of the measurement and the associated uncertainty of measurement, as applicable Calibration certificates shall contain a statement of traceability that affirms the calibration was performed using standards traceable to an appropriate national, international, intrinsic, or mutualconsent standard. Calibration certificates that refer only to a NIST test number as evidence of traceability are not considered sufficient demonstration of measurement traceability. NIST test numbers do not in and of themselves provide a statement of uncertainty associated with the link in the chain farthest from NIST (the last facility providing the measurement value) Calibration certificates and test reports shall be accompanied by the symbol of an accrediation body recognized by ILAC, APLAC, and/or IAAC or a body accredited by ANAB, or otherwise refer to accredited status, to be considered satisfactory for traceability purposes. Non-accredited certificates or test reports, even those issued by accredited laboratories, will result in a finding during assessment. If unable to find a source for an accredited calibration, the forensic unit shall follow the procedure outlined below Use of Non-accredited Laboratories for Traceability Agencies may receive calibration certificates from non-accredited laboratories (including OEMs) when there is no other source or economical means to have a standard calibrated. In such cases, the forensic unit should encourage the provider to achieve accreditation to ISO/IEC The provider may be considered acceptable for traceability if the forensic unit submits acceptable information to ANAB for review (see below) The provider must meet a number of essential elements for traceability. At a minimum, the forensic unit seeking permission to use the non-accredited provider must provide to ANAB: An unbroken chain of comparisons going back to standards acceptable to the parties, usually a national or international standard. Proof that measurement uncertainty in the traceability chain has been calculated according to accepted methods and stated so an overall uncertainty for the whole chain may be calculated. Proof that each step in the chain has been performed according to documented and generally acknowledged procedures, including documenting results (before and after data). Evidence of technical competence of the non-accredited providers. Proof that traceability is to SI units. Page 10 of 45

11 Evidence that calibrations have been repeated at appropriate intervals.s ANAB shall invoice the forensic unit for review based on current assessment-day rates For additional guidance, see ANAB Guidance on Uncertainty and Traceability for Forensic Agencies and the current version of ILAC P10, ILAC Policy on Traceability of Measurement Results Nonconformities for Traceability ANAB shall issue a nonconformity (NC) against clause 5.6 of ISO/IEC if evidence exists that instruments have been calibrated using a provider not compliant with the traceability requirements of ILAC P10 and this document. An NC also shall be issued against the same element if evidence exists that instruments have been calibrated by a laboratory accredited by an accreditation body that is not a signatory of an ILAC or ILAC-approved regional cooperation MRA or by a laboratory that has not provided an accredited certificate of calibration or is not accredited specifically for the parameter calibrated. The severity of the NC depends on the effect on the resultant calibrations done with that device and other considerations. 5.7 Measurement Uncertainty MU and the calculation thereof is one of a number of essential elements contributing to the concept of traceability Agencies are required to have a procedure for estimation of MU. Agencies are required to apply these procedures for all calibrations performed for their own use or for reporting to customers, and for quantitative testing reported to customers New quantitative test procedures developed or non-standard methods implemented by the forensic unit must include estimates of MU in their validation procedure and records The estimation of MU can be made by direct or indirect methods, but all factors that could contribute more than 10% to total MU must be identified and taken into consideration in the estimate. Uncertainty budgets must be used for calibrations. Whatever the method, the estimated MU must be confirmed by direct measurement where possible When the reported quantitative test result will be used either alone or with other information to determine conformity to a specification such as a requirement in a law or regulation, the forensic unit must be able to show that the MU is such that it will not contribute significantly to the reported value When a there is a quantitative step in a test method that results in reporting of qualitative data, the forensic unit must be able to show that the MU is such that it will not contribute significantly to the validity of the reported value When professional judgment is used to give an opinion that includes a quantity (for example, firing distance determination made by a firearms examiner) but where no measuring device that can be calibrated has been employed to determine the quantity, then MU is not required provided that: The report makes it clear that this is an opinion and not a measurement. The competence of the examiner can be established by records of training, PT, and history of supervised and/or peer-reviewed casework. Page 11 of 45

12 The quantity is expressed with an upper and lower limit within the ranges generally accepted in the field for the test conducted. The quantity is not used to determine conformity to a specification When a forensic unit conducts its own calibrations, it must be able to identify the MU of each stage in the traceability of reference standards used in the calibrations The MU for each step in the traceability chain must be calculated according to defined methods and must be stated so that an overall uncertainty for the whole chain may be calculated Defined methods for calculation of MUs can be found in the current versions of: ISO Guide 98, Extension to any number of output quantities (formerly Guide to the Expression of uncertainty in Measurement) NIST Technical Note 1297, Guidelines for Evaluating and Expressing the Uncertainty of NIST Measurement Results ANSI/NCSL Z , U.S. Guide to Expression of Uncertainty in Measurement EA-4/02, Expressions of the Uncertainty of Measurement in Calibration M H Ramsey and S L R Ellison (eds.), Eurachem/EUROLAB/ CITAC/Nordtest/AMC Guide: Measurement uncertainty arising from sampling: a guide to methods and approaches Eurachem (2007). EURACHEM/CITAC Guide CG-4, Quantifying Uncertainty in Analytical Measurement Second Edition, Editors S L R Ellison (LGC, UK) M Rosslein (EMPA, Switzerland) A Williams (UK) Eurachem/CITAC Guide Use of uncertainty in compliance assessment 6. GUIDANCE ON THE APPLICATION OF ISO/IEC The current version of ILAC P15, Application of ISO/IEC 17020:2012 for the Accreditation of Inspection Bodies (available on ILAC s website), provides guidance to inspection bodies on the requirements of ISO/IEC This document is mandatory for all ANAB applicant and accredited customers. 7. ANAB FIELD-SPECIFIC CRITERIA SUPPLEMENTAL REQUIREMENTS FOR CRIME SCENE INVESTIGATION, FRICTION RIDGE, FIREARMS, DIGITAL AND MULTIMEDIA, HANDWRITING, HUMAN IDENTIFICAITON AND ANTHROPOLOGY EXAMINATIONS 7.1. This section provides amplification for the application of ISO/IEC to police forensic agencies (hereafter forensic units ) performing crime scene investigation, comparisons of friction ridge detail, firearms examinations, digital and multimedia analysis, handwriting analysis, human identification and/or anthropology processing and analysis, including analytical testing conducted in the field. When using professional judgment to form an opinion based on comparisons of an object to another object or to specifications, ISO/IEC may be the appropriate ISO standard. When using analytical instrumentation to generate analytical data used to establish the identity of an item, ISO/IEC may be the appropriate ISO standard. Page 12 of 45

13 7.2. This section was developed by Technical Advisory Committees (TACs) consisting of up to 12 subject-matter experts and one ANAB representative for each forensic discipline. This section was developed in the context of a program primarily directed to law enforcement agencies ( agencies ) whose forensic units perform crime scene investigation, either as their sole responsibility or as part of a forensic science unit with broader testing responsibilities and/or forensic units that perform friction ridge detail, firearms examinations, digital and multimedia, handwriting, human identification and anthropology processing and analysis. The TAC for latent prints and crime scene investigation consisted of 12 subject matter experts and one ANAB representative. The TAC for firearms consisted of eight subject-matter experts and one ANAB representative. The other TACs consisted of various subject matter experts and ANAB representatives during the development of the ANAB ISO/IEC forensic supplemental requirements All the clauses of ISO/IEC except and shall be met. Clause deals with adequate provisions to cover liabilities arising from operations. Most forensic units are covered by umbrella insurance policies carried by the government entity to which they belong or they are exempt from liability by law. Non-governmental forensic units need to evaluate the need to carry adequate liability insurance. Clause deals with inspection certificates. Forensic units under ANAB ISO/IEC accreditation program do not issue inspection certificates For the purposes of this document, forensic inspection is defined as the examination of an item or location and the determination of conformity with proposed events or known conditions on the basis of professional judgment. The forensic agency has to demonstrate that it has the necessary competence to perform the tasks involved. For the purposes of accreditation, measurements used to assist in documenting the inspected location or item and tests or processes used to assist in the identification, visualization, and collection of forensic evidence may be listed on the agency s scope of accreditation When using ISO/IEC with these ANAB field-specific criteria, the terms inspector and inspection are equivalent to investigator and/or examiner and investigation and/or examinations, respectively Testing performed by a forensic unit (inspection agency) may fall into one of two categories: functional or analytical. Functional testing (e.g., distance measurements) forms a normal part of the inspection activities of a crime scene investigation unit and is therefore within the scope of ISO/IEC The comparison of a latent print recovered from a crime scene with a latent print from a suspect is within the scope of ISO/IEC Analytical testing laboratories (e.g., conducting the analysis of controlled substances or DNA profiling) are covered by ISO/IEC Any functional testing conducted by an investigator or examiner, such as screening or presumptive testing, shall be carried out according to documented procedures, and ISO/IEC is intended to cover these procedures provided that the relevant clauses of ISO/IEC are met. Traceability and measurement uncertainty are examples of relevant clauses. In these cases, the agency must comply with the requirements of traceability and measurement uncertainty There is considerable overlap in functional and analytical testing in forensic science. The definition of inspection overlaps with that of testing. An important difference is that many types of inspection involve professional judgment to determine acceptability against specific requirements. Agencies are encouraged to pursue the benefits of accreditation, but should consider carefully which international standard best fits their needs. Page 13 of 45

14 7.8. References (Current Versions) ISO/IEC 17020, General criteria for the operation of various types of bodies performing inspection ISO/IEC 17025, General requirements for the competence of testing and calibration laboratories EA-5, Guidance for the implementation of ISO/IEC in the field of crime scene investigation ILAC G19, Modules in a Forensic Science Process ILAC P15 Application of ISO/IEC 17020:2012 for the Accreditation of Inspection Bodies SWGGUN Guidelines for the Documentation of Firearm Examinations (2011) SWGGUN Criteria for Identification (2011) SWGGUN Quality Assurance Guidelines (2011) SWGIT Best Practices for Forensic Image Analysis and other documents SWGDE Recommendations for Validation Testing Version 2009 v1.1, Standards and Controls Position Paper 2006, Best Practices for Computer Forensics v2.1, and SWGDE and SWGIT Digital & Multimedia Evidence Glossary SWGANTH Laboratory Management and Quality Assurance Proficiency Testing SWGDOC SWGTREAD SWGFAST Standard for Friction Ridge Comparison Proficiency Testing Program (Latent/Tenprint) ver. 2, Standard for the Technical Review of Friction Ridge Examinations (Latent/Tenprint) ver. 2, Standard for a Quality Assurance Program in Friction Ridge Examinations ver. 5 (or future versions thereof) 7.9. Definitions Client or customer: Body asking the crime scene investigation unit to perform the crime scene investigation or a specific part of it or a body asking the unit to perform comparisons of friction ridge detail, firearms examinations, digital and multimedia, handwriting or anthropology processing and analysis Crime scene: Scene of incident prior to establishing whether a criminal or other action requiring investigation has taken place or not. The crime scene is not solely restricted to the location of the incident, but also includes areas where relevant acts were carried out before or after the crime, or the body of a suspected perpetrator Evidence or exhibit: Item or sample recovered as part of an investigation. This includes everything recovered from a crime scene including swabs, whole objects, debris, etc., and derived items such as casts of footprints and finger mark lifts. The definition also includes an item or sample examined by a forensic unit using the forensic process. This can also include tenprint exemplars Examiner-general: Individual who conducts and/or directs the inspection of crime scenes or submitted items, performs comparisons, interprets data, reaches conclusions and/or testifies in court The definitions of investigator and examiner can be very close. If trained, both can conduct crime scene investigations and testify. Typically, however, the examiner performs comparisons, interprets data, and reaches conclusions Examiner-friction ridge: Individual who conducts and/or directs the examination (inspection) of latent prints, tenprints, or friction ridge evidence, performs comparisons, interprets data, reaches conclusions, and/or testifies in court. Page 14 of 45

15 Examiner-rirearms: Individual who conducts and/or directs the examination (inspection) of firearms, bullets, cartridges, and other evidence associated with firearms discipline, performs comparisons, interprets data, reaches conclusions, and/or testifies in court Examiner-digital and multimedia: Individual, who conducts and/or directs the examination (inspection) of digital and multimedia evidence, performs comparisons, interprets data, reaches conclusions, and/or testifies in court Examiner-handwriting: Individual, who conducts and/or directs the examination (inspection) of handwriting evidence, performs comparisons, interprets data, reaches conclusions, and/or testifies in court Examiner-Human Identification/Anthropology: Individual, who conducts and/or directs the examination (inspection) involving the field of human identification and anthropology, interprets data, reaches conclusions, and/or testifies in court Equipment: All tools and instruments used as part of the forensic process that need to be monitored and controlled. This also includes reagents and personal protective equipment Forensic agency: Legal entity or a defined part of a legal entity that performs any part of the forensic process Forensic inspection: Examination of a person, item, or location and, on the basis of professional judgment, the determination of their conformity with proposed events or known conditions Forensic process: Gathering, evaluation, and assessment of all types of evidence using scientific procedures, as well as the location, documentation, and preservation of evidence Inspection body: As used in this document, forensic unit or agency such as a crime scene investigation agency using professional judgment to examine (inspect) a scene with the aim of contributing to determining what happened, where it happened, when it happened, how it happened, why it happened, and who was involved. As used in this document, also forensic unit such as a friction ridge (e.g., latent print and/or tenprint), firearms, digital and multimedia, handwriting, or anthropology unit using professional judgment to examine (inspect) evidence with the aim of contributing to determining if the comparison between items meets certain criteria (for example, comparison between prints leads to individualization) Investigator: Person however named trained to perform crime scene examinations and/or investigations. Throughout this document, refers to the function inspector as used in ISO/IEC The definitions of investigator and examiner can be very close. If trained, both can conduct crime scene investigations and testify. Typically, however, the examiner is the one who performs comparisons, interprets data, and reaches conclusions Impartiality and Independence Impartiality and independence of the forensic unit are vital to a successful criminal justice system. There can be no perception of cognitive bias, compromise, or partiality in forensic investigations and science. This section defines the minimum requirements the forensic organization Page 15 of 45

16 must meet. The organization must have clear and documented policies and procedures regarding the pressures on individuals that may affect their judgment. In addition, the organization must have a policy and procedure that it shall follow if a circumstance is discovered where there is a possibility that an individual s judgment has been compromised ISO/IEC classifies inspection agencies as type A, B, or C, depending on the degree of independence of the inspection agency from its client or customer. In terms of tasks and structure, forensic units are essentially inspection agencies that provide services as impartial third parties A forensic unit that inspects a crime scene and/or evidence from a crime scene that is not connected to the parent organization would meet the requirements of a Type A inspection agency, that is, its organization and management are independent of those of the customer or other interested parties. Due to the nature of the crime scene investigation, however, it is not always clear before the investigation has been finished and the case resolved whether the persons involved in the crime actually have connections, for example relatives to the employees of the crime scene investigation unit. The crime scene investigation unit must therefore have policies and procedures for dealing with such situations and have measures to ensure that its impartiality can be defended if challenged A Type B inspection agency is a separate and identifiable part of an organization established to supply inspection services to only its parent organization. Unless an agency s forensic unit only performs services on evidence recovered from within its parent organization, most forensic organizations will not be Type B inspection agencies If the forensic unit provides services to both impartial third parties and its own parent organization, it would be a Type C inspection agency and must meet all of the requirements for Type C. A Type C inspection agency must have safeguards within the organization to ensure adequate segregation of responsibilities and accountabilities in the provision of its services. A Type C inspection agency is similar to a Type B but may supply inspection services to other parties outside its parent organization In addition, ISO/IEC describes independence criteria for Type A, Type B, and Type C inspection agencies. The criteria for the independence of an inspection body are: The forensic unit is an independent legal identity or is part of legally identifiable organization. However, it always remains completely independent of the affected parties in specific cases or abstains or withdraws from the activities. Procedures and policies on maintaining complete independence at all times (for example in relation to personnel, finances, decisions or the standard operating procedures) are defined and adhered to. Individual employees responsible for conducting the forensic process have no direct relationship (private or professional) with the case to be dealt with, the persons involved or with the evidence secured. The services (inspections) of the forensic unit are made available to all interested legal bodies within the scope of the legal process In summary, the three types of police forensic inspection organizations are: A police forensic organization that supplies services only to other agencies or identities is Type A. Page 16 of 45

17 A police forensic organization that supplies services only to its own organization is Type B. A police forensic organization that supplies services to both its own organization and to outside agencies is Type C Confidentiality Because of the nature of the work performed by police forensic units and the need for confidentiality in the criminal justice system, the forensic unit shall have a policy as to any legal requirements of the agency as it relates to confidentiality. In addition, the forensic unit shall have a policy on the confidentiality of the reports If the forensic unit is required by law to release confidential information, the forensic unit unless prohibited by law to notify the customer of the information released Information obtained at crime scenes and other forensic activities from all sources are treated as confidential Administrative Requirements The forensic unit is required to define its legal status and its relationship with a parent organization if one exists. If a parent organization exists, the forensic unit must have an organization structure that defines the relationship between the forensic unit and its parent organization The forensic unit shall be a legal entity or a defined part of a legal entity and held legally responsible for all its forensic activities. A forensic unit that is part of a legal entity involved in activities other than forensics must be identifiable within that entity. Where the forensic unit supplies testing services in addition to inspection services, the relationship between its functions must be clearly defined The forensic unit must also have documentation that describes the activities for which it is competent. The forensic unit is to be organized and managed in such a way so that it is able to maintain the capability to perform its forensic activities. The forensic unit must also define and document the responsibilities and reporting structure of the organization Most forensic units are covered by umbrella insurance policies carried by the government entity to which they belong or are exempt from liability by law The forensic unit must have documentation that describes any contractual conditions under which it provides inspections Organization and Management The forensic unit is required to have an organization that enables it to maintain the capability to perform its technical functions satisfactorily. The inspection body must define and document the responsibilities and reporting structure of the organization. Where the forensic unit supplies testing services in addition to investigative and/or examination (inspection) services, the relationship between its functions must be clearly defined The forensic unit shall maintain an up-to-date organizational chart clearly showing the functions and lines of authority for staff within the forensic unit and the relationship, if any, between the inspection function and other activities of the organization. The position of the technical manager Page 17 of 45

18 and quality manager must be clearly shown in the chart. The quality manager must be free from any influences or conflicts of interest that may affect the quality of his or her work Different persons may fill the role of technical manager for different activities. Where more than one person acts as the technical manager, the specific responsibilities of each person must be defined and documented. The forensic unit shall have one or more named persons who will deputize in absence of any technical manager responsible for ongoing forensic activities The organization shall appoint a member of staff as health and safety manager, however named, who is responsible for maintaining the health and safety of the unit, and this position must be clearly shown on the organizational chart The forensic unit must have job descriptions or other documentation for each position category within the organization involved with forensic activities. The forensic unit must be able to demonstrate that it is organized in such a way that the work of the staff performing forensic activities is supervised by personnel who are familiar with the objectives of the forensic activities, forensic methods and procedures used, and assessments of the investigation and/or examination results. The extent, nature, and level of supervision exercised should take into account the qualifications, experience, training, and technical knowledge of the forensic staff and of the forensic activities being undertaken The forensic unit must have deputies in the absence of any technical manager The forensic unit must have job descriptions for each position category within its organization that is involved in inspection activities Personnel The personnel section requires that all staff involved in the forensic process are competent to perform their assigned tasks. All members of the forensic staff whose work influences the result of the crime scene investigation and/or forensic examinations must have an up-to-date record that includes training, development, and competence evaluation. These records must include academic and professional qualifications, external or internal courses attended, and relevant training (and retraining, where necessary) received while working in the forensic unit. There is no grandfathering but records of a history of successful completion of proficiency testing can be used to demonstrate competency. A certification as a crime scene investigator by International Association for Identification (IAI) or other nationally recognized organizations could be proof of meeting the training requirements The forensic unit shall define the competency requirements for all members of the staff whose work influences the result of the forensic process to include requirements for education, training, technical knowledge, skills, and experience. The forensic unit must have clear statements of the competencies required for all jobs and records must be maintained to demonstrate that all staff are competent for the jobs they are asked to carry out. The purpose of these records is to demonstrate the competency of each member of the staff to perform specific inspection tasks and, where relevant, to use specific equipment and procedures. Therefore, competence records must be documented and should be sufficiently detailed to provide evidence that staff have been properly trained and that their ability to perform their tasks has been formally assessed. Page 18 of 45

19 The term competent is defined as having the requisite knowledge, skill, and ability to perform the task. Having qualifications, training, and experience does not guarantee practical competence in crime scene investigation or sound professional judgment. Therefore, management needs to demonstrate that the personnel are competent by carrying out assessments of their knowledge and skill against defined criteria The quality system must also define and document each role in the forensic unit with specific requirements for qualifications, training, experience, and knowledge for the tasks carried out. The forensic unit is responsible for the competence of temporary personnel used Member of staff shall be aware of their roles and limitations. This information must be given in writing to avoid misunderstanding. They must have the ability to make professional judgments as to conformity with general requirements using examination results and to report thereon. The forensic staff must also have relevant knowledge of the technology used, i.e., an understanding of the technology behind the crime (e.g., firearms) and the technology used to investigate the crime (e.g., fingerprints, DNA, blood pattern analysis) The forensic unit shall have a sufficient number of persons with the required competencies and ability to make professional judgments and to perform the type, range, and volume of its forensic activities. In addition, the forensic unit must have a sufficient number of permanent personnel with the range of expertise to carry out its normal functions There shall be an up-to-date documented training program in place that includes competence assessment with defined criteria to declare someone as competent. The training must follow a defined program and the assessment of competence shall be consistently applied to all. Acceptance criteria must be assigned to the relevant roles to determine competence. Where necessary, the training program must also include expert witness testimony. In addition, the forensic unit must have policies and procedures for retraining and maintenance of skills and expertise including updates with the latest developments in the area of crime scene investigation, and/or friction ridge, firearms, digital and multimedia, handwriting, and anthropology examinations Identification of training needs for each person should normally take place at least once a year. This review should result in documented plans for further training or a statement that no further training is required for the individual Crime scene investigation protocols and training programs shall describe how crime scene investigators should approach a crime scene, including guidance for the identification and collection of probative and representative samples. Crime scene investigation personnel are required to understand the significance of deviations and recognize the significance of the unusual at a crime scene, (e.g., a staged burglary) Each crime scene investigator and/or forensic examiner must be observed (witnessed) on site and documented at least once per accreditation cycle A code of conduct shall be introduced that includes work ethics, confidentiality, impartiality, personal safety, relationships with other members of the forensic unit, and any other issues needed to ensure appropriate conduct of forensic unit staff. Page 19 of 45

20 An effective means for a forensic unit to monitor its performance, both against its own requirements and against the performance of its peers, is to take part in proficiency testing programs. Therefore, the forensic unit shall follow the requirements listed in ANAB Doc 11, section 6, Proficiency Testing. When participating in proficiency testing programs, the forensic unit s own documented procedures must be used. Performance in the programs must be reviewed regularly and where necessary, corrective action shall be taken. Agencies that perform screening tests or other field tests as part of their forensic activities must maintain a proficiency testing program for those tests. A suitable proficiency test is one that meets the requirements of ISO/IEC or is accepted by ANAB Alternative approaches are needed for the evaluation of an agency s performance in forensic activities where no commercial PT test materials exist. For example, for crime scene investigations, an acceptable method is the observation of a crime scene investigation by a qualified individual who is not part of the investigation. The agency shall provide the observer with a protocol for this evaluation process, such as a checklist related to the agency s procedures ANAB assessors evaluate the adequacy of the proficiency test performance in the light of the agency s overall quality assurance procedures and performance. These will include internal procedures for competency monitoring and the effectiveness of corrective action policies and procedures Facilities and Equipment In addition to a competent staff, the forensic unit needs facilities and equipment necessary to complete its assigned tasks. Besides an agency s physical location, the term facilities in ISO/IEC also refers to the means by which the integrity of the evidence and the equipment used can be protected during the investigation and examination. For example tents, storage area, mobile office, mobile forensic unit, etc., are considered facilities. The term equipment in ISO/IEC refers to all tools and instruments used for the forensic process that need to be monitored and controlled to protect the integrity of the scene and evidence. Equipment includes reagents and other reference materials The term rules in ISO/IEC refers the forensic unit s need to have written policies and procedures defining the conditions under which equipment and facilities can be used and the persons allowed to use them The forensic unit must have suitable and adequate facilities and equipment to permit all activities associated with the forensic activities to be carried out in a competent safe manner The forensic unit must have rules to access and to use specified facilities/equipment used to perform forensic activities. Access to the operational area of the forensic unit must be controlled and limited. Visitors must not have unrestricted access to the operational areas of the facilities. A record shall be retained of all visitors to the operational areas of the facility The term access in ISO/IEC refers to the permission to use specific facilities and equipment. It also refers to prohibiting unauthorized persons, e.g. third parties, to use equipment or enter the crime scene The use of facilities and equipment by unauthorized persons is not permitted. Page 20 of 45

21 The forensic unit must monitor and record the environmental conditions with calibrated equipment, if applicable, and note if conditions are outside the limits within which investigation/examinations can be performed All equipment that can influence the quality of the investigation results is to be labeled or in other ways identified. Unique identification of items of equipment is important even when the organization has only one example of a particular item. This enables tracking when items are replaced for whatever reason Where equipment not under the direct control of the crime scene investigation unit is used, the crime scene investigation unit must verify that the equipment meets all relevant requirements of ISO/IEC before using it for investigations (e.g., when using another agency s equipment during a crime scene investigation). The verification procedure must be documented and verification records must be kept If any item is found to have left the forensic unit s direct control, measures must be taken to confirm its continuing suitability before its return to use. Typical measures would include visual inspection, functional and performance checks, and/or re-calibration Maintenance applies to all equipment that influences the quality of the forensic results. Maintenance also includes checking the function of equipment to make sure it works properly. For example, digital camera equipment should be checked for suitability with a test chart to show correct color response and resolution The requirements on defective equipment also apply to reagents. These requirements are relevant only when the equipment and reagents could influence the outcome of the forensic process All equipment must be maintained in accordance with documented procedures and instructions. Measurement equipment having a significant influence on the results must be calibrated before being put into service and calibrated according to an established program. The forensic unit must be able to ensure the accuracy of their length measuring devices The forensic unit needs to have policies for the use of disposable equipment to ensure that such equipment does not contribute to contamination through misuse or re-use All equipment used for measurements, where the results of such measurements have a significant influence on the results and interpretation of the forensic results should be traceably calibrated to national or international standards where possible. The calibration program shall be designed and operated so as to ensure that measurements made by the forensic unit are traceable to national or international standards of measurement, where available. For example, a crime scene investigation unit must be able to ensure the accuracy of length-measuring devices. The steps taken to ensure this accuracy will depend upon the significance that the measurement will have on the reported observations and results. Devices used for measuring relatively small distances (e.g., less than four feet) may require traceability to a NIST-certified ruler. The accuracy of devices used to measure distances greater than four feet could be established by running a set of experiments. There is no SI unit for angle of measurement. Other forensic unit activities such as weight and temperature that have a significant influence on the results and interpretation of forensic results must also be calibrated to national or international standards where possible. Page 21 of 45

22 Some examples of equipment that needs calibration are: Thermometers Sound meters 3D laser scanners Calipers Gas detectors Photo ionization detectors GPS for site identification/logging Laser telemeters, rulers, micrometers, and measurement devices for recording distances and dimensions Data-loggers used for recording weather information Scales and weighing instruments Reference standards are standards with measurements in SI units. Reference materials are classified into two groups: Standard Reference Materials (SRM) are materials manufactured under close scrutiny of NIST and Certified Reference Materials (CRM) are materials manufactured by some manufacturer who traces its uncertainty back to NIST Reference materials in terms of forensic investigations and/or examinations refer to quality control materials that are known and traceable to their source and are used for checking the correct functioning of equipment and reagents (e.g., luminol, hemastix, crystal violet, etc.) When no traceability to national or international standards of measurement exists, the forensic unit must maintain records of correlation or accuracy of forensic results. Where the calibrations are performed in house, traceability to national standards must be assured by using reference standards of measurement for which the forensic unit holds a current calibration certificate or equivalent from a competent body for the reference standards of measurement. The certificate or equivalent should detail an uncertainty of measurement that is appropriate for the equipment that is to be calibrated from the reference standard ANAB Policy on measurement uncertainty and traceability shall be followed (ANAB Document 11, 8.0 Traceability and Measurement Uncertainty) where applicable A list of critical reagents shall be maintained. Critical reagents are those reagents that could result in damage to evidence in normal use and/or influence the quality of the examination. All critical reagents must be tested for their reliability The quality of standard materials and reagents must be adequate for the procedure used. Lot/batch numbers of standard materials and critical reagents must be recorded. Standard materials and reagents must be labeled with: Name Concentration, where appropriate Preparation date and or expiry date Identity of preparer Storage conditions, if relevant Hazard warning, where necessary Page 22 of 45

23 Records must be maintained of each item of equipment and its software significant to the investigations performed. The records should include at least the following where appropriate: Identity of the item of equipment and its software Manufacturer s name, type identification, and serial number or other unique identification Checks that equipment complies with the specification Current location Manufacturer s instructions, if available, or reference to their location Dates, results and copies of reports and certificates of all calibrations, adjustments, acceptance criteria, and the due date of next calibration, maintenance plan, and maintenance carried out to date Any damage, malfunction, modification or repair to the equipment Evidence storage areas shall be secure to prevent theft or interference and there shall be limited, controlled access. The storage conditions must be such as to prevent loss, deterioration and contamination and to maintain the integrity and identity of the evidence Subcontracting The forensic unit shall normally perform the work that it contracts to undertake. In general, the forensic unit should be able to complete the examinations or investigations that it undertakes to perform. However, there may be situations where the forensics unit performing crime scene investigations and/or examinations on friction ridge, firearms, digital and multimedia, and handwriting evidence does not have all the resources necessary to complete the forensic process. In these cases, subcontractors can be used in various circumstances such as: Large incident/scene such as a terrorist attack, plane crash, multiple murder Any part of a crime scene that the crime scene unit is not trained such as a nuclear incident Scene requires specific expertise that the organization does not currently hold, (e.g., entomology, anthropology, or botany) When a forensic unit subcontracts any part of the investigation/examination, it must ensure and be able to demonstrate that the subcontractor is competent to perform the activities in question and, where applicable, complies with the relevant requirements stipulated in ISO/IEC or in other relevant conformity assessment standards. The forensic unit must provide appropriate proof of the subcontracted body s competence, such as accreditation certificate or records of evaluation performed by qualified personnel according to appropriate procedures. The forensic unit must record and retain details of its investigation of the competence of its subcontractors and of their conformity with the applicable requirements of ISO/IEC or in other relevant conformity assessment standards. The forensic unit must maintain a register of all subcontractors Whenever subcontractors carry out work that forms part of an investigation and/or examination, the responsibility for any determination of conformity of the forensic item with the requirements shall remain with the forensic unit A forensic unit may use the services of an outside party to perform aspects of the forensic process, but the forensic unit must exercise caution in how the results are reported so that accreditation is not incorrectly inferred for the tests in question. When the forensic unit contracts Page 23 of 45

24 organizations or individuals who are retained by the agency to perform forensic work that falls outside of the forensic unit s scope of accreditation, the forensic unit is not responsible for the outside party s work. If the forensic unit includes the outside party s test results within its own report, the report must clearly indicate that the results do not fall under the forensic unit s scope of accreditation In summary, the requirements of the standard regarding subcontractors apply when work is subcontracted for activities that fall within the forensic unit s scope of accreditation and the subcontractor s results are included in the agency s own report. However, a forensic unit is not responsible for the content of test reports issued directly by the outside party The forensic unit shall inform the customer of its intention to subcontract any part of the forensic process. For crime scene investigations, notification might not be possible prior to the investigations and as such the customer should be notified as soon as possible after the investigation of the crime scene Inspection Methods and Procedures All forensic investigation and/or examination activities (e.g., crime scene photography, measurement and sketching, evidence identification, collection, and examinations) shall be fully documented including procedures for quality control, where appropriate, and guidelines for the interpretation and reporting of results The forensic unit must use methods and procedures for forensic activities that are defined in the requirements against which the forensic process is to be performed. The forensic unit must have protocols that contain guidelines on the processing activities conducted at a crime scene and the examination of evidence. These procedures must describe the order of activities in which they should be performed. The crime scene investigation unit may have varying protocols depending upon the nature of the offense being investigated. Other forensic processes may also have varying protocols depending upon the nature of the evidence being processed. The processes may be based on nationally and internationally accepted procedures for work When possible, nationally or internationally recognized methods or procedures that have been validated and published by authoritative bodies such as ASTM or relevant SWGs should be used. Such methods shall be implemented following performance checks that confirm that the forensic unit is able to meet the performance specified in the published method and that they are fit for purpose. If no suitable methods or procedures have been validated and published by an authoritative body, the forensic unit should use procedures or methods that have been published in peer-reviewed journals that are generally accepted in the field and that have been demonstrated as fit for purpose by the forensic unit. Methods or procedures that do not fall into either of these categories or modified versions of these methods need to be demonstrated as fit for purpose by in-house verification. These are referred to in this document as non-standard methods (procedures). In all cases, the forensic unit would have to make sure that the standard or non-standard procedure can appropriately be used by its personnel. In the case of well-established methods and procedures, historical and ongoing records of successful completion of proficiency tests using the methods and procedures can be used to demonstrate fit for purpose In some cases, in-house procedures may be used. When these are not defined, the forensic unit must develop specific methods and procedures to be used. If the customer requests a proposed Page 24 of 45

25 forensic method, the forensic unit must inform the customer if these proposed methods are considered to be inappropriate Validation, verification, and performance checks of forensic methods and activities shall follow a written procedure. Methods may be validated/verified by comparison with other established methods using certified reference materials (where available) or materials of known characteristics. Verification should include consideration of uncertainty of measurement where applicable. Records demonstrating that they are fit for purpose shall be kept by the forensic unit. Records of the performance checks shall be kept Crime scene: Uncertainty of measurement may be of significance for crime scene investigation activities that involve quantitative measurements. This includes but is not necessarily limited to tire tracks and footwear (length and width), blood spatter (angles derived from length and width measurements), accident reconstruction (skid mark measurement and diagramming), crime scene plotting (distance/length), tool mark documentation (size and position), and bullet hole documentation (size and position). Section 7 of ANAB Document 11 shall be followed Digital media: Because of the rapidly changing nature of technology, a forensic unit s existing validated/verified methods may be ineffective for the examination of some digital and multimedia evidence. The forensic unit should have a protocol to describe its general approach to the examination of unusual or unique evidence that may require the use of previously untested methods. In extraordinary cases, where evidence might be compromised if analysis is not attempted in a timely manner, methods may be employed without prior performance verification if the examiner uses due caution to maintain the integrity of the evidence. The forensic unit may not claim accredited status for test results obtained through the use of non-validated/verified procedures The forensic unit must have a policy and documented procedures that describe, where applicable, the collection, packaging, transportation, handling, and disposition of collected or submitted items; measures to be taken to prevent loss, contamination, cross contamination, and deleterious changes; and securing exhibits that must be left unattended. Before exhibits are recovered at a crime scene, the investigation team should consider the conditions encountered on site to ensure that the exhibits can be recovered and documented with as little disruption as possible. Where necessary and depending on the technical options, the exhibits are prepared for the sample taking process. Preparation of items in the case of crime scene investigation may refer to decisions on the sequence in which to take samples, or discussions with peers about the order in which to do things Crime scene: The forensic unit must have protocols that contain guidelines on the processing activities conducted at a crime scene and the order in which they should be performed. Crime scene investigation protocols and training programs must describe how crime scene investigators should approach a crime scene, including guidance for the identification and collection of probative and representative samples. If doubts arise as to whether evidence can be properly recovered in the conditions encountered supervisory or management are consulted before the crime scene investigation activities commence about whether and how the available resources should be used. Additional or specialist investigators or technical resources for evidence recovery sometimes may need to be requested The crime scene investigation unit must monitor and record the environmental conditions with calibrated equipment, if applicable, and note if conditions are outside the limits within which Page 25 of 45

26 investigation can be performed. Abnormalities or irregularities at the crime scene that are shown to or immediately identified by the investigation team should be recorded and clarified before the investigation itself commences Equipment not under direct control of the crime scene unit must be verified by the crime scene unit prior to use at crime scenes Calculations and data transfers that do not form part of a validated electronic process must be checked, preferably by a second qualified person. The case record must include an indication that such checks have been carried out and by whom (e.g., units of measurement conversions, angle calculations, statistical analyses) When a forensic unit employs physical, chemical, and dimensional testing activities as part of the forensic process to assist in the identification, visualization, and collection of evidence, these activities must be monitored by operating quality control schemes that are appropriate to the type and frequency of the process undertaken by an organization It is recognized that forensic inspection involves the use of chemical processes and physical, chemical, and dimensional tests to aid in the discovery of evidentiary information or evidentiary items (i.e., use of cyanoacrylate or scene measurement). All such activities conducted while performing forensic inspection must be fully verified before being used on casework There must be written protocols for chemical screening tests or other tests performed in the office or the field. Non-standard test procedures must be validated/verified by the forensic unit. Positive and negative controls must be used to verify the correct functioning of field test kits or other reagents prior to their use on evidence samples at a crime scene. When conducting testing, care shall be taken to avoid sample consumption, degradation, or contamination that would compromise the integrity of samples for subsequent testing The correct functioning of each critical reagent must be confirmed with a control prior to its use on evidence (tested for their reliability) Latent prints: The correct sequence of application of reagents in development of latent prints is essential. There must be a procedure that specifies the correct application sequence The forensic unit shall understand the significance of deviations found with regard to the normal use of the processes used The forensic unit shall provide investigators with safe working practices, including all necessary instructions regarding safety precautions. Investigators and examiners must adhere to the safety measures listed therein and observe the advice and the prohibited actions. In this context, they must use the personal protective clothing with which they are provided and protect both themselves and their environment during their work at the crime scene. Appropriate precautions are required when dealing with potentially dangerous substances and items Handling Inspection Items and Samples The exhibits collected during evidence recovery processes must be clearly and uniquely identified. Where applicable, exhibits collected and the locations at which they were found must be documented using suitable procedures (e.g., measurements, plans, diagrams, photography, etc.) so Page 26 of 45

27 that the items can be identified at all times and the locations at which they were found can be determined. The identity for exhibits should correlate with the investigation report For legal purposes, the forensic unit shall be able to demonstrate that the exhibits examined and reported on were those recovered at the scene of crime, to guarantee the integrity of the exhibit. A chain of custody record must be maintained from the receipt of items/exhibits that detail each person or body who takes possession of an item or alternatively the location of that item (e.g., if in storage). Investigation teams must always take care to ensure that the identified exhibits taken for further examination in a special laboratory are recovered, stored and transported without contamination. This chain of evidence applies to all examinations of evidence Where appropriate, observations and test results should be preserved by photography or electronic scanning (e.g., scene photographs, electrostatic lifts). Photocopies, tracings or hand drawn facsimiles may also be suitable (e.g., scene sketches) The forensic unit must have documented procedures and appropriate facilities to avoid deterioration and damage of items under its responsibility Inspection Records The work carried out by the forensic unit must be documented in a retrievable record (case file). The forensic unit must have documented procedures to ensure that it maintains a coordinated record (case file) relating to each case under investigation. The information that is to be included in records (case files) must be documented. Documentation may include records of telephone conversations, evidence receipts, descriptions of evidence packaging and seals, subpoenas, records of observations and test/examination results, reference to procedures used, diagrams, print-outs, auto radiographs, photographs, etc. In general, the records required to support conclusions must be such that in the absence of the investigator/examiner, another competent investigator/examiner could evaluate what had been performed and interpret the information Under limited circumstances, such as recording rough sketches at a crime scene, it may be appropriate to use a non-permanent, weather-resistant medium such as pencil. It is expected that the process of creating rough sketches could involve the erasure and redrawing of pencil lines. This does not constitute mistakes in note-taking. When a rough sketch and/or other pencil notes have been completed, the notes must be transferred to a tamper-proof final version for retention in the permanent case record, for example, by scanning the notes written in pencil The case file must contain all the results of examinations and observations, including visual evidence, as well as the findings and, where appropriate and admissible, conclusions arrived at from these results. Case records may include notes, photographs, latent print lift cards, etc. When an inspection eliminates a possible sequence of events based on a lack of conformity between the scene and/or evidence and the proposed sequence of events, the reason(s) must be documented in the case record. Calculations and data transfers that do not form part of a validated electronic process must be checked, preferably by a second qualified person. The case record must include an indication that such checks have been carried out and by whom. When an examination result or observation is rejected, the reason(s) must be recorded Paper examination/observation records that are not part of a validated electronic process (LIMS, etc.) must be paginated using a page numbering system that indicates the total number of Page 27 of 45

28 pages and end of document. Each page of every document in the case record shall be traceable to the examiner and where appropriate, to a uniquely identified case or exhibit. It must be clear from the case record who performed each stage of the investigation/analysis/examination and when it was performed. Bound non-loose leaflet notebooks that contain information from only one examiner are not required to have every page marked. In all cases it must be possible to identify the person accepting responsibility for the verification and release of the case report Crime scene: When an investigation eliminates a possible sequence of events based on a lack of conformity between the scene and/or evidence and the proposed sequence of events, the reason(s) must be documented in the case record Latent prints: Latent Print case records must contain (1) a reproduction of the prints of a quality suitable for comparison, (2) the original evidence, or (3) sufficient information to guide the reviewer in retrieving the original evidence. In this way, another suitably qualified examiner would be able to evaluate the original work and verify that the procedures and conclusions arrived at are reasonable. In the case of chemical development processes where the original latent print may degrade and the comparison is made on the basis of photographs or other records of the developed image, the recorded images will be regarded as equivalent to the original If the case record contains the original evidence then it must be stored in a secure environment to ensure that the evidence is not damaged or lost The forensic unit shall have documented policies and procedures for the technical review of case records, including test reports. A technical review is an evaluation of the sufficiency of a case record with regard to the tests that were conducted, the observations and conclusions contained in the report and to ensure that there is an appropriate sufficient basis for the scientific conclusions. The number of case records reviewed and the depth of the review process must be sufficient to ensure that the agency s procedures are being followed and that the records provide support for the observations and conclusions in the reports All individuals who perform technical reviews on case records must have been previously qualified in the areas that the review encompasses. The forensic unit must demonstrate that the technical reviewer has a basis of knowledge that will allow the reviewer to ensure that the conclusions and supporting data are reasonable and within the constraints of scientific acceptance There must be a procedure that describes how to deal with situations wherein the technical reviewer does not agree with the conclusions of the original examiner. The resolution of the differing conclusions shall be recorded in the case record. The annual Management Review must include all records that required a resolution to ensure that any appropriate preventative or corrective action is implemented Latent prints: For latent print cases, at least 10% of all case records must be reviewed for technical correctness. The forensic unit must describe the method used for demonstrating completion of each review (e.g., by completion of a checklist). For latent print examinations, all identifications must be verified by a second latent examiner prior to issuing a report Tenprints: For tenprint units, policies and procedures must exist for the verification of nonmachine generated identifications. For lights-out operations, the accuracy of the identifications must be periodically ensured. Page 28 of 45

29 7.20. Inspection Reports and Inspection Certificates The type and amount of information required in the report may depend on the legal system. However, in all cases, there should be a clear indication of what are facts and what are interpretations, assumptions, or opinions. The report should contain all the results of examinations and observations, including visual evidence, as well as the findings and, where appropriate and admissible, conclusions arrived at from these results. All results on reports must be reported correctly, accurately, and clearly. Where the forensic report contains results supplied by subcontractors, these results must be clearly identified The reports issued by the forensic unit should be complete and should contain the information on which an interpretation might be made. The format of case report may follow the ILAC G19 for reporting. ILAC G19 provides some options for forensic units: All information as required by ISO/IEC Report annex that includes any additional information required by ISO/IEC Case record (case file) contains all information required by ISO/IEC Forensic reports must include all of the following: Identification of the issuing body Unique identification and date of issue Date(s) of forensic activity Identification of the item(s) investigated or examined Signature or other indication of approval, by authorized personnel Statement of conformity where applicable Investigative or examination results Case reports must be signed or otherwise approved by authorized staff members only. In all situations it shall be possible to identify the person accepting responsibility for the verification and release of the case report Amendments to a report after issue must be made only in the form of a further document that includes the statement: Supplement to Report XYZ Forensic units under the ANAB ISO/IEC accreditation program do not issue inspection certificates Complaints and Appeals The forensic unit shall have a documented process to receive, evaluate, and make decisions on complaints and appeals Management System Requirements - General The forensic unit must establish and maintain a management system that is capable of achieving the consistent fulfillment of the requirements of ISO/IEC in accordance with Option A or Option B. In Option A, the management system of the forensic unit must address management system documentation, control of documents, control of records, management review, internal audit, corrective action, preventive action, and complaints and appeals. In Option B, the forensic unit that has established and maintains a management system in accordance with the requirements of ISO 9001, and that is capable of supporting and demonstrating the consistent fulfillment of the Page 29 of 45

30 requirements of ISO/IEC 17020, fulfills the management system clause requirements 8.2 to 8.8, 7.5, and 7.6. ISO 9001 describes best management practices Management System Documentation The forensic unit s management must establish, document, and maintain policies and objectives for the fulfillment of ISO/IEC and make sure that these are acknowledged and implemented at all levels of the organization. The organization must have a quality manager to make sure that processes and procedures are established, implemented, and maintained and to report to top management on the performance of the management system Control of Documents The management system shall establish procedures for the control of documents Control of Records The management system shall establish procedures for the control of records Management Review A management review must be performed every calendar year (January 1-December 31) The input to the management review must include information related to the following: Results of internal and external audits Feedback from clients and interested parties related to the fulfillment of ISO/IEC Status of preventive and corrective actions Follow-up actions from previous management reviews Fulfillment of objectives Changes that could affect the management system Appeals and complaints Internal Audits Internal audits are normally planned and organized by the quality manager, carried out at least once per calendar year, and encompass all aspects of the quality system. The scopes, dates and detailed scheduling of audits must be planned and conducted in accordance with a documented procedure. ANAB defines the calendar year as January 1-December Corrective Action The forensic unit must establish policies and procedures and if necessary designate appropriate persons for implementing corrective action when nonconforming work has been identified. Where the evaluation indicates that the nonconforming work could recur or there is doubt about the compliance of the forensic unit s operations with its own policies and procedures, corrective action procedures shall be followed. A problem with the quality system or with the technical operations of the forensic unit may be identified through a variety of activities, such as control of nonconforming work, internal or external audits, management reviews, feedback from clients, and observations made by investigators. It is recommended that the procedure for corrective action start with an investigation to determine the root cause of the problem. Page 30 of 45

31 Root cause analysis is the key and sometimes the most difficult part in the corrective action procedure. Often the root cause is not obvious and thus a careful analysis of all potential causes of the problem is required The policy and procedures for corrective action must ensure that: Responsibilities and authorities for the management of nonconforming work are designated and actions (including halting of work and withholding of scene of crime reports, as necessary) are defined and taken when nonconforming work is identified Evaluation of the significance of the nonconforming work is made Correction is taken immediately, together with any decision about the acceptability of the nonconforming work Where necessary, the client is notified and work is recalled Responsibility for authorizing the resumption of work is defined Preventive Action The forensic unit shall establish procedures for taking preventive actions to eliminate the causes of potential nonconformities ANAB Requirements for Use of the ANAB Symbol The ANAB symbol (if being used) is to be used properly when making reference to the forensic unit s accreditation in communication media such as websites, documents, brochures, and advertising. The forensic unit must use the ANAB symbol only within its scope of accreditation All agencies accredited by ANAB for testing/inspections are required to use the ANAB symbol on all accredited test/inspection reports or include the following statement (edited as appropriate) on test/inspection reports, unless otherwise required by federal, state and/or local regulations: This examination/inspection [delete appropriately] is accredited under the forensic unit s ISO/IEC accreditation issued by the ANSI-ASQ National Accreditation Board/ANAB. Refer to certificate and scope of accreditation [insert accreditation number here] If your state has any regulations prohibiting this, please contact ANAB. The forensic unit must ensure that reports or certificates containing the ANAB symbol are not used in a misleading manner The forensic unit must not make any misleading or unauthorized statements regarding its accreditation. The forensic unit must not use its accreditation to imply that a product, process, system, or person is approved by ANAB If the ILAC mark is used, the forensic unit must ensure that the symbol is used only in conjunction with the ANAB symbol and that the forensic unit has on file a signed sub-licensing agreement. 8. ANAB ISO/IEC FORENSIC SUPPLEMENTAL REQUIREMENTS AND NOTES The numbering system refers to the corresponding ISO/IEC 17020:2012 standard. F-X is a ANAB forensic supplemental requirement. Page 31 of 45

32 4.1 Impartiality and independence F-1 ANAB Requirement The organization shall have a clear and documented policies and procedures regarding pressures on individuals that may affect their judgment. The organization shall have a policy and procedure that shall be followed if a circumstance is discovered where there is a possibility that an individual s judgment has been compromised a) ANAB Note An organization that supplies services to only other agencies or entities is a Type A b) ANAB Note An organization that supplies services to only its own organization is a Type B c) ANAB Note An organization that supplies services to both its own organization and to outside agencies is a Type C Confidentiality F-2 ANAB Requirement The unit shall have a policy as to any legal requirements of the agency as it relates to confidentiality. The unit shall have a policy on the confidentiality of the reports. 5.1 Administrative requirements ANAB Note The forensic unit should describe its activities by defining the general field and range of activities ANAB Note Most forensic units are covered by umbrella insurance policies carried by the government entity to which it belongs or is exempt for liabilities by law. 5.2 Organization and Management F-3 ANAB Requirements The inspection body shall have an organization that enables it to maintain the capability to perform its technical functions satisfactorily and take steps to keep it appropriately informed about applicable technical and/or legislative developments concerning its activities. This includes infrequently performed technical activities (defined as internals longer than one year) F-4 ANAB Requirement The unit shall maintain an up-to-date organization chart clearly showing the functions and lines of authority for staff ANAB Note Where the forensic unit also supplies testing services, the relationship between its functions should be clearly defined. Page 32 of 45

33 5.2.5 F-5 ANAB Requirement The position of the technical manager and the quality manager shall be clearly shown on the organizational chart F-7 ANAB Requirement The job description or other documentation shall detail the duties, responsibilities and authorities for each position F-8 ANAB Requirement The organization shall appoint a member of the staff as Health and Safety Manager, however named, who is responsible for maintaining the health and safety of the unit. 6.1 Personnel F-9 ANAB Requirement The quality system shall define and document each role in the forensic unit with specific requirements for qualifications, training, experience and knowledge for the tasks they carry out. The competence of temporary personnel used shall be the responsibility of the unit. Each member of staff shall be aware of their role and limitation. This information shall be given in writing to avoid misunderstanding F-10 ANAB Requirement The unit shall have clear statements of the competencies required for all jobs and records shall be maintained to demonstrate that all staff is competent for the jobs they are asked to carry out ANAB Note The purpose of these records is to demonstrate the competency of each member of the staff to perform specific inspection tasks and, where relevant, to use specific equipment and procedures. The term competent is defined as having the requisite knowledge, skill and ability to perform the task. Having qualifications, training, and experience does not guarantee practical competence in crime scene investigation or sound professional judgment. Therefore, management should demonstrate that the personnel are competent by carrying out assessments of their knowledge and skill against defined criteria F-11 ANAB Requirement The forensic unit shall follow the requirements listed in ANAB Doc 12 Article 5 Proficiency Testing. The forensic latent print examiner shall successfully complete one proficiency test per year. The forensic digital examiner shall successfully complete one proficiency test per year. The forensic anthropologist shall successfully complete one proficiency test per year ANAB Note The forensic unit should have a sufficient number of permanent personnel with the range of expertise to carry out its normal functions. Page 33 of 45

34 6.1.3 F-12 ANAB Requirement The personnel shall have the ability to make professional judgments as to conformity with general requirements using examination results and to report thereon F-13 ANAB Requirement The forensic staff shall also have relevant knowledge of the technology used ANAB Note Relevant knowledge of the technology refers to an understanding of the technology behind the crime (e.g., firearms) and the technology used to investigate the crime (e.g., fingerprints, DNA, blood pattern analysis) ANAB Note The procedure for formally authorizing inspectors should specify that the relevant details are documented, e.g. the authorized inspection activity, the beginning of the authorization, the identity of the person who performed the authorization and, where appropriate, the termination date of the authorization F-14 ANAB Requirement There shall be an up-to-date documented training program in place that includes competence assessment with defined criteria to declare someone as competent. The training shall follow a defined program and the assessment of competence shall be consistently applied to all. Acceptance criteria shall be assigned to the relevant roles to determine competence. Where necessary, the training program shall include expert witness testimony F-15ANAB Requirement The forensic unit shall have policies and procedures for retraining and maintenance of skills and expertise including updates with the latest developments in the area of crime scene investigation, and/or friction ridge, firearms, digital multimedia, handwriting, and anthropology examinations ANAB Note Identification of training needs for each person should normally take place at least once per year. This review should result in documented plans for further training or a statement that no further training is required for the individual at present F-16 ANAB Requirement-Crime Scene Crime scene investigation protocols and training programs shall describe how crime scene investigators should approach a crime scene, including guidance for the identification and collection of probative and representative samples. The forensic unit shall have a clear policy and procedure for appointing and assigning personnel with the responsibility for crime scene investigations. Page 34 of 45

35 6.1.7 F-17 ANAB Requirement-Crime Scene Crime scene investigation personnel are required to understand the significance of deviations and recognize the significance of the unusual at a crime scene, for example, a staged burglary F-18 ANAB Requirement Each crime scene investigator and/or forensic examiner shall be observed (witnessed) and documented at least once per accreditation cycle ANAB Note A forensic unit that has only one technically competent person cannot perform an internal observation (witnessing). In such cases the forensic unit should have arrangements in place for external observations (witnessing) unless there is sufficient supporting evidence that the person is continuing to perform competently F-19 ANAB Requirement All members of forensic staff, whose work influences the result of the crime scene investigation and/or forensic examinations, shall have an up-to-date records of training, development, and competence evaluation. These records shall include academic and professional qualifications, external or internal courses attended and relevant training (and retraining, where necessary) received while working in the forensic unit ANAB Note There is no grandfathering but records of a history of successful completion of proficiency testing can be used to demonstrate competency. A certification as a crime scene investigator by International Association for Identification (IAI) or other nationally recognized organizations could be proof of meeting the training requirements F-20 ANAB Requirement Competence records shall be documented and shall be sufficiently detailed to provide evidence that staff have been properly trained and that their ability to perform their tasks has been formally assessed F-21ANAB Requirement A Code of Conduct shall be introduced that includes work ethics, confidentiality, impartiality, personal safety, relationship with other members of the forensic unit and any other issues needed to ensure appropriate conduct of forensic unit staff. 6.2 Facilities and equipment F-22 ANAB Requirement Access to the operational area of the forensic police unit shall be controlled and limited. Visitors shall not have unrestricted access to the operational areas of the facilities. A record shall be retained of all visitors to the operational areas of the facility F-23 ANAB Requirement The use of facilities and equipment by unauthorized persons shall not be permitted. Page 35 of 45

36 If any equipment is found to have been removed from the forensic unit s direct control, measures shall be taken to confirm its continuing suitability before its return to use F-24 ANAB Requirement The forensic unit shall monitor and record the environmental conditions with calibrated equipment, if applicable, and note if conditions are outside the limits within which investigation/examinations are performed ANAB Note All equipment that can influence the quality of the investigation results should be either labeled or in other ways identified. Unique identification of items of equipment is important even when the organization has only one example of a particular item. This enables tracking when items are replaced for whatever reason F-25 ANAB Requirement Crime Scene: Where equipment not under the direct control of the crime scene investigation service is used, the crime scene investigation service shall verify that the equipment meets all relevant requirements of ISO/IEC before using it for investigations. The verification procedure shall be documented and verification records shall be kept F-26 ANAB Requirement The forensic unit shall be able to ensure the accuracy of their length measuring devices F-27 ANAB Requirement Where the calibrations are performed in-house, traceability to national standards shall be assured by using reference standards of measurement for which the forensic unit holds a current calibration certificate or equivalent from a competent body for the reference standards of measurement. The certificate or equivalent should detail an uncertainty of measurement that is appropriate for the equipment that is to be calibrated from the reference standard F-28 ANAB Requirement ANAB policy on measurement uncertainty and traceability shall be followed (ANAB Document 12 Article 4) where applicable F-29 ANAB Requirement For equipment subjected to in-service checks between regular recalibration, there shall be documentation to define the nature of such checks, the frequency and the acceptance criteria ANAB Note The verification procedure should ensure that incoming goods and services are not used until conformance with specification has been verified F-30 ANAB Requirement Evidence storage areas shall be secure to prevent theft or interference and there shall be limited, controlled access. Page 36 of 45

37 The storage conditions shall be such as to prevent loss, deterioration and contamination and to maintain the integrity and identity of the evidence ANAB Note Procedures are established and implemented for protecting the integrity and security of data; and computer and automated equipment is maintained in order to ensure proper functioning F-31 ANAB Requirement A list of critical reagents shall be maintained ANAB Note: A reagent is 1) a chemical substance that is used to create a reaction in combination with some other substance, or 2) A reagent is a compound or mixture added to a system to cause a chemical reaction or test if a reaction occurs F-32 ANAB Requirement The quality of standard materials and reagents shall be adequate for the procedure used. Lot/batch numbers of standard materials and critical reagents shall be recorded. Standard materials and reagents shall be labeled with: Name Concentration, where appropriate Preparation date and or expiry date Identity of preparer Storage conditions, if relevant Hazard warning, where necessary ANAB Note Records should be maintained of each item of equipment and its software significant to the investigations performed. The records should include at least the following where appropriate: Identity of the item of equipment and its softwaremanufacturer s name, type identification, and serial number or other unique identification Checks that equipment complies with the specification Current location Manufacturer s instructions, if available, or reference to their location Dates, results and copies of reports and certificates of all calibrations, adjustments, acceptance criteria, and the due date of next calibration, maintenance plan, and maintenance carried out to date Any damage, malfunction, modification or repair to the equipment 6.3 Subcontracting Page 37 of 45

38 6.3.1 ANAB Note A subcontractor is one who is not part of the accredited organization and who performs services that are covered under the scope of accreditation ANAB Note If the evaluation of the competence of the subcontractor is based partly or in full on its accreditation, the forensic unit must ensure that the scope of the subcontractor s accreditation covers the activities to be subcontracted. 7 Process requirements 7.1 Inspection methods and procedures ANAB Note Where possible, nationally or internationally recognized methods or procedures that have been validated and published by authoritative bodies such as ASTM or relevant SWGs should be used. Such methods should be implemented following performance checks that confirm that the forensic unit is able to meet the performance specified in the published method and that they are fit for purpose. Records of the performance checks should be kept F-33 ANAB Requirement Validation, verification, and performance checks of forensic methods and activities shall follow a written procedure. Records demonstrating that they are fit for purpose shall be kept by the forensic unit ANAB Notes Methods may be verified by comparison with other established methods using certified reference materials (where available) or materials of known characteristics. Verification should include consideration of Uncertainty of Measurement where applicable. Crime Scene: If there are no suitable methods or procedures that have been validated and published by an authoritative body, then the forensic unit should use procedures or methods that have been published in peer reviewed journals are generally accepted in the field, and that have been demonstrated as fit for purpose by the crime scene investigation unit. Digital Multimedia: Because of the rapidly changing nature of technology, a forensic unit s existing, validated/verified methods may be ineffective for the examination of some digital multimedia evidence. The forensic unit should have a protocol to describe its general approach to the examination of unusual or unique evidence that may require the use of previously untested methods. Digital Multimedia: In extraordinary cases, where evidence might be compromised if analysis is not attempted in a timely manner, methods may be employed without prior performance verification, if the examiner uses due caution to maintain the integrity of the evidence. The forensic unit may not claim accredited status for test results obtained through the use of non-validated/verified procedures. Page 38 of 45

39 7.1.2 F-34 ANAB Requirement All forensic investigation and/or examination activities (e.g., crime scene photography, measurement and sketching, evidence identification and collection, and examinations) shall be fully documented including procedures for quality control, where appropriate, and guidelines for the interpretation and reporting of results F-35 ANAB Requirement The forensic unit shall have a policy and documented procedures which describe, where applicable, the collection, packaging, transportation, handling and disposition of collected or submitted items; measures to be taken to prevent loss, contamination, cross contamination and deleterious changes; and to secure exhibits which must be left unattended F-36 ANAB Requirement-Crime Scene The forensic unit shall have protocols that contain guidelines on the processing activities conducted at a crime scene and the order in which they should be performed F-37 ANAB Requirement-Latent Prints The correct sequence of application of reagents in development of latent prints is essential. There shall be a procedure that specifies the correct application sequence F-38 ANAB Requirement There shall be written protocols for chemical screening tests or other tests performed in the office or the field. Non-standard test procedures must be validated/verified by the forensic unit. Positive and negative controls must be used to verify the correct functioning of field test kits or other reagents prior to their use on evidence samples at a crime scene. When conducting testing, care shall be taken to avoid sample consumption, degradation, or contamination that would compromise the integrity of samples for subsequent testing F-39 ANAB Requirement The correct functioning of each critical reagent shall be confirmed with a control prior to its use on evidence F-40 ANAB Requirement There shall be policies and procedures in place for the use of disposable equipment to ensure that such equipment does not contribute to the contamination through misuse or re-use F-41 ANAB Requirement Calculations and data transfers that do not form part of a validated electronic process shall be checked, preferably by a second qualified person. The case record shall include an indication that such checks have been carried out and by whom (e.g., units of measurement conversions, angle calculations, statistical analyses). 7.2 Handling inspection items and samples Page 39 of 45

40 7.2.1 F-42 ANAB Requirement A chain of custody record shall be maintained from the receipt of items/exhibits which details each person or body who takes possession of an item or alternatively the location of that item (e.g., if in storage) F-43 ANAB Requirement-Crime Scene The exhibits collected during evidence recovery processes shall be clearly and uniquely identified. Where applicable, exhibits collected and the locations at which they were found shall be documented using suitable procedures (e.g., measurements, plans, diagrams, photography, etc.) so that the items can be identified at all times and the locations at which they were found can be determined. The identity for exhibits should correlate with the investigation report ANAB Note Where appropriate, observations and test results should be preserved by photography or electronic scanning (e.g. scene photographs, electrostatic lifts). Photocopies, tracings or hand drawn facsimiles may also be suitable (e.g., scene sketches) F-44 ANAB Requirement-Crime Scene Investigation teams shall always take care to ensure that the identified exhibits taken for further examination in a special forensic unit are recovered, stored and transported without contamination ANAB Note-Crime Scene Abnormalities or irregularities at the crime scene that are shown to or immediately identified by the investigation team should be recorded and clarified before the investigation itself commences ANAB Note The forensic unit should understand the significance of deviations with regard to the normal investigation and/or examination processes F-45 ANAB Requirement There shall be documented procedures that describe the measures taken to secure exhibits in the process of being examined that must be left unattended. 7.3 Inspection records F-46 ANAB Requirement The forensic unit shall have documented procedures to ensure that it maintains a coordinated record (case file) relating to each case under investigation. The information that is to be included in records (case files) shall be documented. The records shall indicate which particular item of equipment, having a significant influence on the results of the investigation/examination, has been used for each activity ANAB Note Documentation may include records of telephone conversations, evidence receipts, descriptions of evidence packaging and seals, subpoenas, records of observations and test/examination results, reference Page 40 of 45

41 to procedures used, diagrams, print-outs, auto radiographs, photographs, etc. In general, the records required to support conclusions should be such that in the absence of the investigator/examiner, another competent investigator/examiner could evaluate what had been performed and interpret the information F-47 ANAB Requirement The case file shall contain all the results of examinations and observations, including visual evidence, as well as the findings and, where appropriate and admissible, conclusions arrived at from these results. In all situations it shall be possible to identify the person accepting responsibility for the verification and release of the case report F-48 ANAB Requirement The forensic unit s retention policy shall consider the legal requirements and customer expectations F-49 ANAB Requirement-Crime Scene When an investigation eliminates a possible sequence of events based on a lack of conformity between the scene and/or evidence and the proposed sequence of events, the reason(s) shall be documented in the case record F-50 ANAB Requirement-Latent Prints Latent Print case records shall contain either (1) a reproduction of the prints of a quality suitable for comparison or (2) the original evidence or (3) sufficient information to guide the reviewer in retrieving the original evidence. In this way another suitably qualified examiner would be able to evaluate the original work and verify that the procedures and conclusions arrived at are reasonable. If the case record contains the original evidence then it shall be stored in a secure environment to ensure that the evidence is not damaged or lost F-51 ANAB Requirement When an examination result or observation is rejected, the reason(s) shall be recorded F-52 ANAB Requirement The forensic unit shall have documented policies and procedures for the technical review of case records, including reports. All individuals who perform technical reviews on case records shall have been previously qualified in the areas that the review is encompassing. The forensic unit shall demonstrate that the technical reviewer has a basis of knowledge that will allow him/her to ensure that the conclusions and supporting data are reasonable and within the constraints of scientific acceptance. The forensic unit shall describe the method used for demonstrating completion of each review, for example, by completion of a checklist. Page 41 of 45

42 7.3.1 ANAB Note A technical review is an evaluation of the sufficiency of a case record with regard to the tests that were conducted and the observations and conclusions contained in the report. The number of case records reviewed and the depth of the review process shall be sufficient to ensure that the forensic unit s procedures are being followed and that the records provide support for the observations and conclusions in the reports F-53 ANAB Requirement There shall be a procedure that describes how to deal with situations wherein the examiner does not agree with the conclusions of the original examiner. The resolution of the differing conclusions shall be recorded in the case record. The annual Management Review shall include all records that required a resolution to ensure that any appropriate preventative or corrective action is implemented F-54 ANAB Requirement-Latent Prints For latent print cases, at least 10% of all case records shall be reviewed for technical correctness F-55 ANAB Requirement-Latent Prints For latent print examinations, all identifications shall be verified by a second latent examiner prior to issuing a report F-56 ANAB Requirement-Tenprints For tenprint units, policies and procedures shall exist for the verification of non-machine generated identifications. For lights-out operations, the accuracy of the identifications shall be periodically ensured F-57 ANAB Requirement Paper examination/observation records not part of a validated electronic process (LIMS, etc.) shall be paginated using a page numbering system that indicates the total number of pages and end of document. Each page of every document in the case record shall be traceable to the examiner and where appropriate, to a uniquely identified case or exhibit. It shall be clear from the case record who and when each stage of the investigation, analysis, and/or examination was performed ANAB Note Bound non-loose leaflet notebooks that contain information from only one examiner are not required to have every page marked F-58 ANAB Requirement In all cases it shall be possible to identify the person accepting responsibility for the verification and release of the case report F-59 ANAB Requirement When technical abbreviations are made in records, these abbreviations shall be clearly defined and readily understood. Page 42 of 45

43 7.4 Inspection reports and inspection certificates F-60 ANAB Requirement Case reports shall be signed or otherwise approved by authorized staff members only F-61 ANAB Requirement The format of the report shall follow the ILAC G19 for reporting ANAB Note ILAC G19 provides some options for forensic reports: (1) All information as required by ISO/IEC or (2) Report annex that includes any additional information required by ISO/IEC or (3) Case record (case file) contains all information required by ISO/IEC ANAB Note Forensic units under ANAB ISO/IEC accreditation do not issue inspection certificates F-62 ANAB Requirement Amendments to a report after issue shall be made only in the form of a further document that includes the statement: Supplement to Report XYZ. 8 Management system requirements Option B ANAB Note If the forensic unit claims that they comply with Option B, it needs to demonstrate that it has established a management system that complies with ISO 9001, and that the management system is capable of supporting the consistent fulfilment of the requirements of ISO/IEC The accreditation body shall verify the claims made by the forensic unit but not assess or audit the ISO 9001 management system. The required extent of verification will depend on the evidence provided. If the management system is certified by an accredited certification body, the accreditation body will still need to verify compliance with but not assess or audit against clauses of the standard. If the verification results in the identification of nonconformities, these should be reported against clause The ISO 9001 certification will be from a certification body which is a signatory to the IAF MLA or to a regional MLA for the certification of management systems. 8.4 Control of records (Option A) ANAB Note This requirement means that all records needed to demonstrate compliance with the requirements of the standard are to be established and retained. 8.5 Management review (Option A) General Page 43 of 45

44 ANAB Note ANAB defines once per year as the calendar year (Jan 1-Dec 31) unless other arrangements have been made between the accredited body and the accrediting body F-63 ANAB Requirement Addition items for review inputs: h) impartiality risk identification i) adequacy of current human and equipment resources j) projected workloads k) the need for training of both new and existing staff l) effectiveness of systems established to ensure adequate competence of the personnel m) all records that required a resolution to ensure that any appropriate preventative or corrective action is implemented when latent print examination conclusions differ. 8.6 Internal audits (Option A) F-64 ANAB Requirement The evaluation of the implementation of the forensic unit s procedures shall include direct observations of the examinations and testing undertaken on-site or in the forensic unit ANAB Note Word implementation implies that when a procedure is first introduced, it must be evaluated by direct observation, and this would be a function of the internal audit to see if it was carried out F-65 ANAB Requirement Internal audits shall be planned and organized by the quality manager and carried out at least once per year that encompasses all aspects of the quality system. The scopes, dates and detailed scheduling of audits shall be planned and conducted in accordance with a documented procedure ANAB Note ANAB defines once per year as the calendar year (Jan 1-Dec 31) unless other arrangements between the accredited body and ANAB have been made. 8.7 Corrective actions (Option A) F-66 ANAB Requirement The unit shall establish policies and procedures and if necessary designate appropriate persons for implementing corrective action when nonconforming work has been identified F-67 ANAB Requirement The policy and procedures for feedback and corrective action shall ensure that: Page 44 of 45

45 a) the responsibilities and authorities for the management of nonconforming work are designated and actions (including halting of work and withholding of reports, as necessary) are defined and taken when nonconforming work is identified, b) an evaluation of the significance of the nonconforming work is made; c) correction is taken immediately, together with any decision about the acceptability of the nonconforming work; d) where necessary, the client is notified; e) the responsibility for authorizing the resumption of work is defined. 8.8 Preventive actions (Option A) ANAB Note Preventive actions are taken in a pro-active process of identifying potential nonconformities and opportunities for improvement rather than as a reaction to the identification of nonconformities, problems, or complaints. Use of Symbols F-68 ANAB Requirements for ANAB symbol The ANAB symbol shall be used properly (if being used) when making reference to the forensic unit s accreditation in communication media such as websites, documents, brochures, or advertising. The forensic unit shall use the ANAB symbol only within its scope of accreditation. The forensic unit shall either use the ANAB symbol on all accredited test reports or include the following statement (edited as appropriate) on test reports, unless otherwise required by federal, state and/or local regulations: This examination/inspection [delete one] is accredited under the forensic unit s ISO/IEC accreditation issued by ANSI-ASQ National Accreditation Board/ANAB. Refer to certificate and scope of accreditation [insert accreditation number here]. The forensic unit shall ensure it does not make any misleading or unauthorized statements regarding its accreditation. The forensic unit shall ensure that reports or certificates containing the ANAB symbol are not used in a misleading manner. The forensic unit shall ensure it does not use its accreditation to imply that a product, process, system, or person is approved by ANAB. If the forensic unit uses the ILAC mark, it shall ensure the forensic unit shall use it only in conjunction with the ANAB symbol. If the ILAC mark is used, the forensic unit shall have on file a signed sub-licensing agreement. Page 45 of 45