26 Quality management and expert evidence

Transcription

1 26 Quality management and expert evidence by Alastair Ross BAppSci, MAppSci (Research), GradDip BusAdmin Anna Davey BSc, MSc, GradCert Public Sector Management, Cert IV Training and Assessment Systems THOMS ON REUTERS 26-51

2 EXPERT EVIDENCE Author information Alastair Ross is the Director of the Australia New Zealand Policing Advisory Agency National Institute of Forensic Science (ANZZPAA NIFS) and Chair of the Board of Directors of the National Association of Testing Authorities (NATA). From 1976 to 1990 he worked as a forensic scientist in South Australia. During that time he completed a MAppSci (Research). Mr Ross has numerous publications and has given presentations on many aspects of forensic science, nationally and internationally. In 2004 he was recognized by the international forensic science community with the Adelaide Medal and in 2005 he was recognised as a Member of the Order of Australia (AM) for services to forensic science. Alastair Ross may be contacted at: ANZPAA National Institute of Forensic Science Yarra Tower World Trade Centre 637 Flinders Street MELBOURNE VIC 3005 Telephone: Fax: alastair.ross.nifs@anzpaa.org.au Anna Davey was awarded her Bachelor of Science degree with Honours in 1980 and her Master of Science in Anna was then employed as a hospital scientist at the Royal Children s Hospital in Melbourne for four years. In 1984, she was awarded the Lady Latham Research Fellowship, which allowed her to conduct genetic research and which culminated in the Master of Science degree. Between 1986 and 1988 Anna worked as a Research Officer in the Centre for Early Human Development at Monash University. In 1988, she was employed by the then State Forensic Science Laboratory as part of a small team formed to introduce DNA profiling to Victoria for criminal casework. By 1994, she was Team Leader and had developed an interest in education and training in forensic science. In 1997, she moved from casework to head the section of the laboratory responsible for Quality Management, Education and Training. In 1997 Anna completed a Certificate IV in Competency Based Training and Assessment and in 1998 a Graduate Certificate of Public Sector Management. From , Anna held the position of Executive Officer of the National Institute of Forensic Science and in 2004 was appointed Deputy Director. Anna acted as Director of the Institute for seven months in 2003/4 and 12 months in 2007/8. In these roles, she was heavily involved in national programs and initiatives especially in the areas of quality management and training. In 2010 Anna completed a Graduate Diploma in Legal Studies at the University of New England and is currently undertaking a PhD focusing on the interface between law and witnesses with specialised knowledge (experts). In 2008 Anna Davey founded Forensic Foundations Pty Ltd, a specialised service aimed at assisting both science and legal practitioners working at the interface between expert knowledge and legal argument Expert Evidence

3 Anna Davey may be contacted at: Forensic Foundations Pty Ltd PO Box 2279 RINGWOOD VIC 3134 Telephone: Website:

4 EXPERT EVIDENCE INTRODUCTION... [26.10] UNDERPINNING DEFINITIONS... [26.50] FITNESS FOR PURPOSE... [26.90] ACCREDITATION... [26.130] NATA... [26.170] PERSONAL ACCREDITATION... [26.210] THE QUALITY SYSTEM... [26.250] Quality control... [26.260] Method validation and verfication... [26.270] Accuracy... [26.280] Repeatability and reproducibility... [26.290] Sensitivity... [26.300] Robustness... [26.310] Equipment calibration... [26.320] Reference materials and internal standards... [26.330] Controls... [26.340] Proficiency testing... [26.350] Training and authorisation... [26.360] Documentation... [26.370] THE FIELD... [26.410] Initial assessment of the crime scene... [26.430] Control of the crime scene... [26.440] Examination of the crime scene... [26.450] Interpretation of the evidence... [26.460] Recording of the crime scene... [26.470] Item collection... [26.480] THE LABORATORY... [26.520] Evidence recovery... [26.530] Examination and/or analysis... [26.540] Interpretation... [26.550] Reporting... [26.560] Peer review... [26.570] THE COURTROOM... [26.610] FUTURE DIRECTIONS... [26.650] International networks and scientific working groups... [26.660] Standards development... [26.670] Co-operation between accrediting agencies... [26.680] COURT PRESENTATION OF EVIDENCE... [26.720] Feedback sheet... [26.720] [The next text page is ] Expert Evidence

5 ABBREVIATIONS Abbreviations AICEF...Academia Iberoamericana de Criminalistica y Estudios Forenses AFSN...Asian Forensic Science Network ASCLD...American Society of Crime Laboratory Directors ENFSI...European Network of Forensic Science Institutes FBI...Federal Bureau of Investigation GC...gas chromatography ILAC...International Laboratory Accreditation Co-operation ISO...International Organisation for Standardisation NACLA...National Council for Laboratory Accreditation NATA...National Association of Testing Authorities NIFS...National Institute of Forensic Science OH&S...Occupational health and safety QC...quality control SMANZFL...Senior Managers of Australian and New Zealand Forensic Laboratories

6 EXPERT EVIDENCE Expert Evidence

7 Glossary GLOSSARY quality assurance all those planned and systematic actions needed to provide adequate confidence in a product or service satisfying given requirements for quality. quality control the operational techniques and activities that are used to fulfill the requirements for quality. quality management that aspect of the overall management function that determines and implements the quality policy. quality policy the overall quality intentions and directions of an organisation as regards quality. quality system the organisational structure, responsibilities, procedures, processes and resources for implementing quality management. [The next text page is ]

8 EXPERT EVIDENCE Expert Evidence

9 INTRODUCTION [26.10] If a criminal or civil case as a whole is viewed as a jigsaw puzzle, then expert evidence can add pieces of varying sizes to that puzzle. Furthermore, the piece of the puzzle added by an expert will often be a combination of smaller pieces contributed by other practitioners working within their own area of expertise. The role of quality management is to ensure that any piece which contributes to the jigsaw, that is any reported result, is accurate, correctly interpreted and appropriately qualified. It should also ensure the reporting of results without any hint of advocacy for any party. Leisztner (1989, p 252) states that the reliability of the expert s report is guaranteed by the quality assurance of the report generation process. He thus emphasises the point that, quality needs to be built in at every step, inclusive of all tests and examinations, the interpretation of data and in the courtroom. This chapter examines quality management issues which are applicable to all areas of expertise and uses forensic science as an example of one mature quality management system. It is also appropriate to consider the issue of quality management relative to both the organisation and to the individual. Issues to be considered relative to the quality output of the organisation include management structures, documentation, instrumentation, security and occupational health and safety (OH&S). Those relative to the individual are the underpinning knowledge s/he has of the discipline, as well as experience and qualifications and the level of understanding of the technology and methodologies used in work practices. Finally, the quality issues for the lawyer evaluating any area of expertise are: how do I know the results presented (and, by inference, the conclusions drawn from them) are correct? and how do I know the overall management of the case is sound (and, by inference, that a reasonable effort has been made to obtain the best scientific evidence)? To assist in that evaluation, the lawyer should have an understanding of the basic principles of the discipline(s) and quality management and the specific issues involved in a particular case. The lawyer should also seek assistance from practitioners who are recognised by their peers as having expertise in the fields involved. [The next text page is ]