Texas Forensic Science Seminar 2010

Texas Forensic Science Seminar 2010 Texas Forensic Science Seminar 2010 Austin, TexasAustin, Texas

Overview of the ASCLD/LAB Accreditation Programs

Ralph M. Keaton Ralph M. Keaton October 7, 2010October 7, 2010

Objectives of Presentation Objectives of Presentation

• To provide an overview of the ASCLD/LAB Accreditation Programs

• To review the evolution of Standards in the programs

• To review the transition to an ISO based Accreditation Program

The Opening of Crime Laboratory Communications in the US

The Opening of Crime Laboratory Communications in the US

• In 1973, FBI Director Clarence Kelly and FBI Laboratory Director Briggs White invited approximately 40 directors of forensic laboratories from around the USA to attend a meeting at Quantico, Virginia for the purpose of opening channels of communication between laboratories.

• During that meeting, it was agreed that a committee would explore the creation of an organization of crime laboratory directors.

ASCLD is formed ASCLD is formed

• In 1974, another meeting was held and a new organization was officially formed.

• The American Society of Crime Laboratory Directors (ASCLD) was formed and the participants agreed to hold annual meetings of its membership.

An Early Focus of ASCLD An Early Focus of ASCLD

• During the late 1970s, a National Voluntary Proficiency Testing Program in the USA revealed a need for improving the quality of forensic laboratory work

• ASCLD membership recognized the need to set operational standards for forensic laboratories

• ASCLD Committee on Evaluation and Standards was appointed

ASCLD Committee Works on a ProgramASCLD Committee Works on a Program

• The ASCLD Committee on Evaluation and Standards worked for approximately five years developing Proposed Operational Standards for Crime Laboratories

• Each year new proposals were presented to the membership of ASCLD for acceptance

• Options considered by the committee included individual certification and a self-assessment program

ASCLD Creates aLaboratory Accreditation Board

ASCLD Creates aLaboratory Accreditation Board

• It was concluded that the program must involve a total operational review of a laboratory by an external body of competent forensic peers

• In the fall of 1981, the membership of ASCLD approved a voluntary accreditation program for crime laboratories which provided a set of operational standards to be administered by a committee of ASCLD known as the Laboratory Accreditation Board

Laboratory Accreditation Board Laboratory Accreditation Board

• The ASCLD Committee on Evaluation and Standards became the first Board of Directors for ASCLD’s new Laboratory Accreditation Board

• Bylaws directed the creation of an Independent accreditation body - once there were a sufficient number of accredited laboratories to form a Delegate Assembly

• 25 independent accredited laboratories, representing at least 10 different governmental organizations was required to form a new governing body known as the Delegate Assembly

Objectives of the Laboratory Accreditation Board Objectives of the Laboratory Accreditation Board

• To improve the quality of laboratory services provided to the Criminal Justice System

• To develop and maintain criteria which can be used by the laboratory to assess its level of performance and strengthen its operation

• To provide an independent, impartial and objective system by which laboratories can benefit from a total operational review

• To offer to the general public and to users of laboratory services a means of identifying those laboratories which have demonstrated that they meet established standards

ASCLD’s LAB becomes ASCLD/LAB ASCLD’s LAB becomes ASCLD/LAB

• In May 1982, eight laboratories of the Illinois State Police became the first laboratories accredited by ASCLD/LAB

• In November 1984, the Directors of all accredited laboratories were notified that the required numbers to form a Delegate Assembly had been reached

• In September 1985, the Delegate Assembly officially met as the new governing body for ASCLD/LAB

ASCLD/LAB Grows ASCLD/LAB Grows

• February 1988 ASCLD/LAB was incorporated as a not-for-profit corporation in the state of Missouri

• In 1996, ASCLD/LAB adopted its own logo and discontinued the use of the ASCLD logo

Standards are Strengthened Standards are Strengthened

• Over the years, all substantive changes to the ASCLD/LAB accreditation standards have been presented to and approved by a 2/3 affirmative vote of the Delegate Assembly by mail ballot

• Changes have been very methodical and carefully evaluated by the respective ASCLD/LAB Boards of Directors prior to presentation to the Delegate Assembly

The Early Focus of the Accreditation Program The Early Focus of the Accreditation Program

• Adequate Operational Space and Facilities

• Adequate Equipment to Perform Examinations

• Identification, Tracking and Protection of Evidence

• Proper Ventilation and Safety Issues

• Properly Validated Procedures

• Appropriate Standards and Controls

The Evolution of Standards The Evolution of Standards

• 1992 - Annual Survey of Lab with Report to be sent to ASCLD/LAB. Later renamed the Annual Accreditation Audit Report.

• 1993 - Proficiency Tests from External Test Providers required for each discipline.

• Proficiency Review Committees (PRCs) established.

• Competency Testing of each analyst prior to assuming casework responsibility was required

• Quality System Requirements were added (Quality Manager, Quality Manual, etc.)

The Evolution of Standards The Evolution of Standards

1997 – Each examiner required to complete an annual proficiency test in each discipline in which work is performed

1998 - Documented Training Programs required in each discipline

Successful Completion of proficiency tests was defined and required for each individual

Sub-discipline proficiency testing was added

Laboratory Security was defined and required.

The Evolution of Standards The Evolution of Standards

2000 – ASCLD/LAB signed an agreement with the FBI that all inspections of laboratories performing DNA analysis would include the FBI’s DNA Quality Assurance Standards as a part of the inspection standards.

The Evolution of Standards The Evolution of Standards

2005 - Established standards for Individual Characteristic Databases

Required the issuance of reports for all work performed.

The Significance of Associations must be Communicated Clearly and Properly Qualified

2008 - Proficiency Testing of each analyst in each sub-discipline was required at least once during each accreditation cycle

Training programs must include training on Ethical Practices in Forensic Science

The Evolution of the Organization The Evolution of the Organization

Prior to 1995, the ASCLD/LAB Accreditation Program was administered totally by volunteers

In September 1995, a part-time Executive Secretary was employed.

In January 2000, ASCLD/LAB leased its first office space

In the first quarter of 2000, an Administrative Assistant and a part-time Bookkeeper were employed

In September 2000, 3 part-time Staff Inspectors were employed

The Evolution of the Organization The Evolution of the Organization

2002 - Quality Manager was employed.

2004 – Position of International Program Manager created

2006 – Legacy Program Manager and Training Managers employed

2007 – Business Manager employed

2008 – Proficiency Test Program Manager

Currently – 13 Staff Inspectors to lead all Assessments

ASCLD/LAB Grows Again ASCLD/LAB Grows Again

The move to ISO

The Move to ISO The Move to ISO

• In September 1996, the ASCLD/LAB Board of Directors received their first training on ISO Standards

• After the training, the Board passed a resolution to support and promote the transition to an accreditation program based on ISO standards

• After presentations to the Delegate Assembly in 1996 and 1997, the 1998 Delegate Assembly directed the Board to further investigate the changes necessary to become an ISO compliant accrediting body

The Move to ISO The Move to ISO

• A January 2003 mail ballot by the Delegate Assembly approved the transition to an ISO/IEC 17025 based accreditation program

• A “dual-track” program was established which allowed for a five-year transition, during which time a laboratory could seek accreditation under the original ASCLD/LAB accreditation program (Legacy Program) or the newly created ASCLD/LAB-International program

The Move to ISO The Move to ISO

• For clarity among customers, the original accreditation program was now identified as the:

ASCLD/LAB Legacy Accreditation Program

• The newly created accreditation program requiring conformance to ISO/IEC 17025 was identified as the:

ASCLD/LAB-International Accreditation Program

ASCLD/LAB-International ASCLD/LAB-International

• In 2003, ASCLD/LAB adopted a logo for use in the new ASCLD/LAB-International program

ASCLD/LAB-International Program Standards ASCLD/LAB-International Program Standards

• ISO/IEC 17025:2005

• 2006 ASCLD/LAB-International Supplemental Requirements for Forensic Science Testing Laboratories (Note: The Delegate Assembly recently approved revised 2011 Supplemental Requirements which will become effective on April 1, 2011.)

• USA Federal DNA Quality Assurance Standards

• The laboratory’s own documented Management System

NOTE: The ASCLD/LAB-International Supplemental Requirements contain the forensic specific requirements of the ASCLD/LAB Legacy accreditation program

ASCLD/LAB-International ASCLD/LAB-International

• On April 1, 2004, ASCLD/LAB began receiving applications for accreditation under the ASCLD/LAB-International program based on ISO/IEC 17025 standards

• Effective April 1, 2009, no new applications were accepted in the ASCLD/LAB Legacy Accreditation Program.

ASCLD/LAB-International Scope ASCLD/LAB-International Scope

• Field of Forensic Science Testing

Categories of testing:

• Controlled Substances• Toxicology• Trace Evidence• Biology• Firearms/Toolmarks• Latent Prints• Questioned Documents• Crime Scene• Digital and Multimedia Evidence

Cycle of Accreditation Cycle of Accreditation

• The ASCLD/LAB-International cycle of accreditation is five (5) years

• Annual, on-site surveillance visits are required during the first five-year cycle in the ASCLD/LAB-International program

• After the first five years, the frequency of on-site surveillance visits can vary – depending on a laboratory’s demonstrated ability to maintain conformance with accreditation requirements

Compliance Monitoring Compliance Monitoring

• Annual Audit Reports

• Annual, On-site Surveillance visits

• Proficiency Tests reviewed by Proficiency Review Committees (PRCs)

• Interim Inspections (Based upon procedure for “Allegations Concerning Accredited Laboratories and Their Employee”)

New Elements Under ISO/IEC 17025 New Elements Under ISO/IEC 17025

• Document Control

• Procedures for Uncertainty of Measurement

• Procedures for Traceability

• “Have arrangements to ensure that its management and personnel are free from any undue internal and external commercial, financial and other pressures and influences that may adversely affect the quality of their work”

Guiding Principles Guiding Principles

On March 15, 2009, after seeking input from more than 30 forensic and professional organizations including the Innocence Project, ASCLD/LAB adopted ASCLD/LAB GUIDING PRINCIPLES OF PROFESSIONAL RESPONSIBILITY FOR CRIME LABORATORIES AND FORENSIC SCIENTISTS

One of the new requirements approved with the 2011 Supplemental Requirements was a requirement that accredited laboratories adopt these guiding principles.

ASCLD/LAB Recognized as an Accrediting Body by IAAC and ILAC

ASCLD/LAB Recognized as an Accrediting Body by IAAC and ILAC

• In May 2008, ASCLD/LAB under went an Evaluation by a team from the Inter American Accreditation Cooperation (IAAC)

• On September 12, 2008, ASCLD/LAB received formal recognition as an accrediting body by IAAC. The recognition is for 4 years.

• On April 7, 2009, ASCLD/LAB became a signatory with the International Laboratory Accreditation Cooperation (ILAC) and received recognition as an accrediting body by ILAC

New Calibration Accreditation New Calibration Accreditation

Field of Forensic Science Calibration

• Some forensic science laboratories provide calibration services for breath alcohol measuring instruments

• ASCLD/LAB has recently expanded its scope of accreditation to include breath alcohol calibration accreditation (no other calibration accreditation will be offered by ASCLD/LAB)

• Calibration accreditation program was officially launched in May 2008

Accreditation is Voluntary Accreditation is Voluntary

Seeking ASCLD/LAB accreditation is voluntary except in the states of:

• New York• Oklahoma• Texas• Missouri• Nebraska• Maryland

385 Labs Currently ASCLD/LAB Accredited 385 Labs Currently ASCLD/LAB Accredited

The 385 Accredited Laboratories consist of: • 191 State laboratories• 126 Local laboratories• 24 USA Federal laboratories• 28 Private laboratories• 16 laboratories outside the USA

• 145 Laboratories have been accredited under the ASCLD/LAB-International Program

• 235 Laboratories remain Accredited under the ASCLD/LAB Legacy Program

• As of 10-07-10

Thank You Thank You

ASCLD/LAB139 J Technology Drive

Garner, North Carolina 27529USA

919-773-2600 www.ascld-lab.org

Ralph KeatonASCLD/LAB Executive Director

rkeaton@ascld-lab.org

John NeunerASCLD/LAB-International Program Manager

jneuner@ascld-lab.org