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