1. 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

2. 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

3. 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

4. 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

5. 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

6. 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

7. 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

8. 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

9. 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

10. 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

11. 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

12. 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

13. 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

14. The Evolution of Standards
Annual Survey of Lab with Report to be sent to ASCLD/LAB. Later renamed the Annual Accreditation Audit Report.
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

15. The Evolution of Standards
1997 – Each examiner required to complete an annual proficiency test in each discipline in which work is performed
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

16. 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

17. The Evolution of Standards
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
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

18. 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

19. The Evolution of the Organization
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

20. ASCLD/LAB Grows Again
The move to ISO 20

21. 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

22. The Move to ISO
A January 2003 mail ballot by the Delegate Assembly approved the transition to an ISO/IEC 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

23. 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 was identified as the:
ASCLD/LAB-International Accreditation Program 23

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

25. 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

26. ASCLD/LAB-International
On April 1, 2004, ASCLD/LAB began receiving applications for accreditation under the ASCLD/LAB-International program based on ISO/IEC standards
Effective April 1, 2009, no new applications were accepted in the ASCLD/LAB Legacy Accreditation Program. 26

27. 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

28. 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

29. 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

30. 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

31. 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

32. 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

33. 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

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

35. 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 35

36. Thank You ASCLD/LAB 139 J Technology Drive
Garner, North Carolina 27529
USA
Ralph Keaton
ASCLD/LAB Executive Director
John Neuner
ASCLD/LAB-International Program Manager 36