Overview of the ASCLD/LAB Accreditation Programs Texas Forensic Science Seminar 2010 Austin, Texas Overview of the ASCLD/LAB Accreditation Programs Ralph M. Keaton October 7, 2010

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 2

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. 3

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. 4

ASCLD Committee on Evaluation and Standards was appointed 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 5

ASCLD 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 6

Laboratory Accreditation Board ASCLD Creates a Laboratory 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 7

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 8

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 9

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 10

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 11

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 12

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 13

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.) 14

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. 15

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. 16

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 17

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 18

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 19

ASCLD/LAB Grows Again The move to ISO 20

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 21

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 22

ASCLD/LAB Legacy Accreditation Program 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 23

ASCLD/LAB-International In 2003, ASCLD/LAB adopted a logo for use in the new ASCLD/LAB-International program 24

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 25

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. 26

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 27

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 28

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”) 29

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” 30

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. 31

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 32

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 33

Accreditation is Voluntary Seeking ASCLD/LAB accreditation is voluntary except in the states of: New York Oklahoma Texas Missouri Nebraska Maryland 34

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 35

Thank You ASCLD/LAB 139 J Technology Drive Garner, North Carolina 27529 USA 919-773-2600 www.ascld-lab.org Ralph Keaton ASCLD/LAB Executive Director rkeaton@ascld-lab.org John Neuner ASCLD/LAB-International Program Manager jneuner@ascld-lab.org 36