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Texas Forensic Science Seminar 2010

Learn about the ASCLD/LAB Accreditation Programs and the evolution of standards in these programs. Explore the transition to an ISO based Accreditation Program and the opening of crime laboratory communications in the US.

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Texas Forensic Science Seminar 2010

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  1. 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

  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.

  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.

  5. 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

  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

  7. ASCLD Createsa 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

  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

  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

  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

  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

  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

  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

  14. 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.)

  15. 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.

  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.

  17. 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

  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

  19. 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

  20. ASCLD/LAB Grows Again The move to ISO

  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

  22. 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

  23. 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

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

  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

  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 17025 standards • Effective April 1, 2009, no new applications were accepted in the ASCLD/LAB Legacy Accreditation Program.

  27. ASCLD/LAB-InternationalScope • 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

  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

  29. ComplianceMonitoring • 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”)

  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”

  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.

  32. ASCLD/LAB Recognized as anAccreditingBodyby 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

  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

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

  35. 385 LabsCurrently 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

  36. 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

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