Organization of Scientific Area Committees (OSAC) Developing Standards & Guidelines for the Practice of Forensic Science

Transcription

1 FORENSIC EXPERT WITNESS ASSOCIATION San Diego, California April 24, 2015 Organization of Scientific Area Committees (OSAC) Developing Standards & Guidelines for the Practice of Forensic Science Mark D. Stolorow Director for OSAC Affairs National Institute of Standards & Technology

2 Agenda Origins of OSAC OSAC Objective & Launch OSAC Priorities & Public Comment Opportunity Standards Development Process: Elements OSAC Moving Forward and Common Questions 2

3 2009 NAS Report The forensic science disciplines... [t]oo often have inadequate educational programs, and they typically lack mandatory and enforceable standards, founded on rigorous research and testing, certification requirements, and accreditation programs. (p.14)

4 Forensic Science Realignment NAS report Feb 2009 White House Subcommittee on Forensic Science (SoFS) July 2009 to Dec 2012 DOJ/NIST Partnership NCFS (National Commission on Forensic Science) OSAC (Organization of Scientific Area Committees) 79 pages Released May 2, s/microsites/ostp/nstc/strengthening_the_ forensic_sciences_may_-_2014.pdf Pending Legislation (Senate) Leahy Bill (Justice) Rockefeller Bill (Commerce) FY14 New NIST Role administer OSAC Criminal Justice and Forensic Science Reform Act (Leahy Bill) Forensic Science and Standards Act (Rockefeller Bill)

5 NIST DOJ Memorandum of Understanding NIST-DOJ Partnership MOU signed March 2013 by NIST Director and Attorney General Formed National Commission on Forensic Science (NCFS) and guidance groups Organization of Scientific Area Committees (OSAC)

6 2009 NAS Report The forensic science enterprise also is hindered by its extreme disaggregation marked by multiple types of practitioners with different levels of education and training and different professional cultures and standards for performance and a reliance on apprentice-type training and a guild-like structure of disciplines, which work against the goal of a single forensic science profession. (p.15)

7 Scientific Working Group (SWG) Topic (Forensic Discipline) Start Sponsor Website 1 SWGDAM DNA 1988 FBI swgdam.org 2 SWGMAT Materials (Trace) 1992 FBI swgmat.org 3 SWGFAST Friction Ridge (Fingerprints) 1995 FBI swgfast.org 4 SWGDRUG Controlled Substances 1997 DEA swgdrug.org 5 SWGIT Imaging Technologies 1997 FBI OTD swgit.org 6 SWGDOC Document Examination 1997 FBI swgdoc.org 7 SWGDE Digital Evidence 1998 FBI OTD swgde.org 8 SWGGUN Firearms & Toolmarks 1998 FBI swggun.org 9 SWGFEX Fire Debris & Explosives 1998 NIJ swgfex.org 10 SWGSTAIN Bloodstain Pattern 2002 NIJ swgstain.org 11 SWGTREAD Shoeprint & Tire Tread 2004 FBI swgtread.org 12 SWGDOG Dog & Orthogonal Detector 2004 FBI swgdog.fiu.edu 13 SWGGSR Gun Shot Residue 2007 NIJ swggsr.org 14 SWGANTH Anthropology 2008 FBI swganth.org 15 SWGTOX Toxicology 2009 NIJ swgtox.org 16 FISWG Facial Identification 2009 FBI OTD fiswg.org 17 SWGDVI Disaster Victim Identification 2010 FBI swgdvi.org 18 SWGMDI Medicolegal Death Investigation 2010 NIJ/FBI swgmdi.org 19 SWGGEO Geological Materials 2011 USACIL swggeo.org 20 SWGWILD Wildlife Forensics 2011 USFWS wildlifeforensicscience. org/ swgwild 21 SWGSPEAKER Voice Analysis 2012 FBI swg-speaker.org

8 2009 NAS Report The efforts of these groups are laudable. However,... it is not clear how [they] interact or the extent to which they share requirements, standards, or policies. Thus, there is a need for more consistent and harmonized requirements. (p.16)

9 Individual SWGs vs. Organized Effort funded support enforceable standards unified effort greater influence and impact

10 Organization of Scientific Area Committees (OSAC) Forensic discipline-specific guidance groups administered by NIST

11 OSAC Objective To create a sustainable organizational infrastructure dedicated to identifying and fostering the development of technically sound, consensus-based documentary standards and guidelines for widespread adoption throughout the forensic science community

12 Traditional Hierarchal Organizational Chart Forensic Science Standards Board (FSSB) Legal Resource Committee (LRC) Quality Infrastructure Committee (QIC) Human Factors Committee (HFC) Biology/DNA SAC Chemistry/ Instrumental Analysis SAC Crime Scene/ Death Investigation SAC Digital/Multimedia SAC Physics/Pattern Interpretation SAC Biological Data Interpretation and Reporting Sub Biological Methods Sub Wildlife Forensics Sub Fire Debris and Explosives Sub Geological Materials Sub Gunshot Residue Sub Materials (Trace) Sub Seized Drugs Sub Anthropology Sub Disaster Victim Identification Sub Dogs and Sensors Sub Fire and Explosion Investigation Sub Digital Evidence Sub Facial Identification Sub Speaker Recognition Sub Video/Imaging Technology and Analysis Sub Bloodstain Pattern Analysis Sub Firearms and Toolmarks Sub Footwear and Tire Sub Forensic Document Examination Sub Toxicology Sub Medicolegal Death Investigation Sub Friction Ridge Sub SAC = Scientific Area Committee Sub = Subcommittee Odontology Sub March 17, 2015

13 Understanding the OSAC Levels Forensic Science Standards Board (FSSB) Set policy, rules, priorities for OSAC Manage OSAC Registry of Approved Standards and Approved Guidelines Legal Resource, Quality Infrastructure, Human Factors Committees Provide advice across all forensic science and discipline committees Scientific Area Committees Manage work within a scientific area (harmonize/leverage across related disciplines) Adopt and approve scientific area standards, (e.g., terminology, reporting requirements, conclusion statements) Discipline Specific Subcommittees (Working Groups) Identify and develop (with an SDO or the canvass method) standards & guidelines for discipline 13

14 Forensic Science Standards Board Oversees SAC, Subcommittee and Resource Committee Operations 1. Approves of standards for inclusion in the OSAC Registry of Approved Standards 2. Maintains OSAC Bylaws and Operations Manual 3. Manages the appeals process for unresolved comment adjudication and membership matters 4. Ensures communication flow among SACs, the Forensic Science AUTHORITY MAJOR DUTIES Standards Board and the forensic science community 5. Develops and updates balance requirements and other membership rules and processes, including the MEMBERSHIP length of membership terms and possible creation of term limits 6. Liaises with Human Factors, Legal and Quality Infrastructure Committees 17 Members Total 14 5 SAC Chairs 6 Professional Association Representatives 5 At large members 1 NIST Ex-Officio

15 OSAC Resource Committees: Support Forensic Science Standards Board (FSSB) Legal Resource Committee (LRC) Quality Infrastructure Committee (QIC) Human Factors Committee (HFC) LRC composed of up to 10 judges, lawyers, and legal experts who provide guidance about the legal ramifications of forensic standards under development and input on presentation of forensic results to the legal system QIC composed of up to 15 standards experts, quality systems managers, laboratory managers, and accreditation and certification specialists who are responsible for writing and updating the Forensic Science Code of Practice and providing impact statements for standards/guidelines HFC composed of up to 10 psychologists, quality systems managers, and usability experts who provide guidance on the influence of systems design on human performance and on ways to mitigate errors in complex tasks Initial selection completed by NIST-DOJ leadership/membership committee 15

16 Legal Resource Committee (LRC) Named July 16, Jennifer Friedman, Deputy Public Defender, Los Angeles County 2. Christine Funk, General Counsel, Department of Forensic Sciences, Washington, D.C. (local government) 3. Lynn Robitaille Garcia, General Counsel, Texas Forensic Science Commission (state government) 4. Ted R. Hunt, Chief Trial Attorney and DNA Cold Case Project Director, Jackson County Prosecutor's Office, Kansas City, MO 5. David H. Kaye, Professor, Graduate Faculty, Forensic Science Program, Pennsylvania State University 6. David A. Moran, Professor of Law, University of Michigan Law School 7. Christopher J. Plourd, Superior Court Judge, State of California 8. Henry R. Reeve, Denver District Attorney s Office 9. Ronald S. Reinstein, Judge and Judicial Consultant, Arizona Supreme Court 10. Barry Scheck, Professor, Cardozo School of Law, Yeshiva University; Co- Director, Innocence Project; Commissioner, NY Commission on Forensic Science; Neufeld, Scheck, & Brustin, LLC

17 Scientific Area Committees (SAC) AUTHORITY Provides direction and oversight for the work performed by Subcommittees 1. Approves standards and guidelines identified or developed by subcommittees 2. Coordinates the development of research and standards priorities with subcommittees 3. Recommends the creation, merger or abolishment of subcommittees MAJOR DUTIES 4. Provide a quarterly report to the FSSB on activities and accomplishments 5. Serve as hub for public input on standard and guideline activities MEMBERSHIP Subcommittee chairs Researchers, measurement scientists, and practitioners Up To 15 Members Total (# varies depending on subcommittees) 17

18 Scientific Area Committees (SAC) SAC Biology/DNA SAC Chemistry/ Instrumental Analysis SAC Crime Scene/ Death Investigation SAC Digital/Multimedia SAC Physics/Pattern Interpretation SAC = Scientific Area Committee Initial selection of SACs by NIST-DOJ leadership/membership committee SAC meetings are open to the public and agendas made available prior to meetings Representatives of professional forensic science organizations appropriate to the scientific area, examples include: American Academy of Forensic Sciences AAFS, American Society of Crime Laboratory Directors ASCLD, Association of Firearm and Toolmark Examiners AFTE, International Association for Identification IAI, National Association of Medical Examiners NAME, Society of Forensics Toxicologists SOFT 18

19 OSAC Functional Organization Chart FSSB appointed June 26, 2014 QIC, LRC, HFC July SAC August Subcommittees October

20 OSAC Applicants as of 12 May 2014 All 50 states represented Other countries (21 total; 56 individuals) Australia (10) Bangladesh (1) Belarus (1) Bosnia (1) Brazil (1) Canada (17) China (1) France (1) Germany (2) Israel (2) Italy (1) Korea (1) Malaysia (1) Nepal (1) The Netherlands (1) New Zealand (1) Peru (1) Singapore (2) Switzerland (1) Taiwan (1) UK (8) Alaska Hawaii Puerto Rico 1313 total 357 state govt 331 local govt 234 federal govt 223 private 154 academic 14 FFRDC 56 non-u.s.

21 542 OSAC Members Total as of 13 February states represented Alaska Hawaii 94 Academics 147 Federal Govt 8 FFRDC 105 Local Govt 89 Private Sector 99 State Govt 21

22 OSAC Members Employer Classification (as of 13 February 2015) 542 OSAC Members Total State Govt 18% Academic 17% Private Sector 17% FFRDC = Federally-funded research and development center Local Govt 19% Federal Govt 27% FFRDC 2% 22

23 542 OSAC Members Total OSAC Members Job Classification (as of 13 February 2015) R&D Technology Partner 2% Quality Assurance Manager 1% Attorney 2% Researcher 19% Practitioner 57% Educator/ Trainer 9% Judge 1% Other 9% 23

24 OSAC Application Status & Affiliates 1813 Total Applications 542 OSAC Members 1271 Applications in Database for Affiliates All potential Affiliates must fill out an application OSAC Application: Applicant database updated on 1 st & 15 th each month Affiliates are selected by OSAC Unit Chairs Added to Kavi Workspace and receive 24

25 OSAC Build-Out Summary Membership All membership positions have been appointed effective December 22, 2014* Infrastructure - Modified OSAC infrastructure to reflect addition of Digital Evidence Subcommittee Training Virtual training provided to FSSB, LRC, QIC, HFC, and all five Scientific Area Committees and 24 Subcommittees Meetings In-person meetings 24 Subcommittees January 2015 Norman OK, and 5 public SAC meetings February 2015 AAFS Orlando FL * for complete listing of all OSAC members

26 NIST Practice focused Ongoing (Forensic Science Quality Infrastructure) Outputs Forensic Science Code of Practice Organization of Scientific Area Committees (OSAC) Forensic Science Standards Board (FSSB) Process & technical merit OSAC Registry of Approved Standards Technical merit OSAC Registry of Approved Guidelines Accreditors Appropriate ISO/IEC documents, e.g Laboratories Appropriate ISO/IEC documents and discipline-specific approved standards and documents

27 OSAC Registries of Approved Standards and Guidelines Documentary standards and guidelines that have demonstrated: 1. Technical merit Detailed Scope Examination of fitness for purpose Consideration of uncertainty measurement and potential bias Method validation, as appropriate 2. Reasonable standards development process Due Process Consensus Openness Transparency Freedom from undue influence Balance of interests Registry Sources: 1. An existing standard developed using approved processes 2. Catalyzed with an existing SDOs 3. Developed by OSAC using canvass method

28 OSAC Catalog of Standards and Guidelines: 700+ References The catalog is intended to contain any standard, guideline, best practice, protocol or policy created in collaboration with a body of stakeholders that is applicable to forensic science. OSAC members can potentially select standards and guidelines from this listing to submit for addition to OSAC Registries or to form a basis for new standards and guidelines to be created. 28

29 OSAC Catalog of Standards and Guidelines

30 OSAC Priority Action Plans Posted Online for All 24 Subcommittees Sample:

31 OSAC Infrastructure: Provided by NIST Kavi Workspace: Web-based infrastructure to manage all documents & online balloting/voting Adobe Connect Licenses: to support virtual meetings enabling all entities in OSAC to conduct virtual business. Logistics Support: funding for in-person meetings Future Contract: Program management support Spin Out: Spin OSAC out of NIST in 5 years May initially be with funding from NIST to the outside entity. Must ensure good science and stability 31

32 OSAC Events and Information >1,800 applicants 542 Members >100 Task Groups

33 OSAC Update Moving Forward Outreach Continue to conduct open OSAC forums and provided presentations with dozens of stakeholder organizations Functional Shift Transition from infrastructure build-out to operations in standards and guidelines development OSAC Affiliates Team up with Members on Task Groups for special projects and serve as pool for new positions and replacements Become an OSAC Affiliate apply online and be appointed to a Task Group to become an OSAC Affiliate

34 OSAC Vision How OSAC activities COULD affect the courtroom in 5-10 years? * Forensic Science practitioners embrace change OSAC Forensic Registries of Standards and Guidelines become implemented in the practice of forensic science across all forensic disciplines in addition to DNA Prosecutors, defense attorneys and judges begin to use the Registries of Standards and Guidelines in direct and cross examinations of expert witnesses Judges and Juries routinely hear witnesses testify about how their analysis met current standards and scientific validity and openly describe the limitations of the tests in general and their interpretations in the specific case Significant forensic science research is finally well organized and well funded with influence from OSAC to define research priorities Standards enforcement by accrediting bodies finally becomes the rule rather than the exception

35 Stay Informed How can I be notified of latest OSAC announcements or when standards are open for public comment? Insert your address Where are the latest publicly available OSAC materials? OSAC Homepage: OSAC Library: ts?view=all-documents 35

36 Acknowledgments Susan Ballou John Butler Richard Cavanagh Pat Gallagher Gordon Gillerman Barbara Guttman Christina Hacker Dave Holbrook Jennifer Huergo Linda Joy Willie May Karen Reczek Melissa Taylor Robert Thompson Shannan Williams John Paul Jones

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38 Questions? Mark D. Stolorow Director for OSAC Affairs Office of Special Programs National Institute of Standards and Technology 100 Bureau Drive, Mailstop 8102 Gaithersburg, MD

39 OSAC Members Employer Classification (as of 13 February 2015) 542 OSAC Members Total State Govt 18% Academic 17% Private Sector 17% FFRDC = Federally-funded research and development center Local Govt 19% Federal Govt 27% FFRDC 2% 39

40 542 OSAC Members Total OSAC Members Job Classification (as of 13 February 2015) R&D Technology Partner 2% Quality Assurance Manager 1% Attorney 2% Researcher 19% Practitioner 57% Educator/Tr ainer 9% Judge 1% Other 9% 40