Scientific Assessment of Human Factors in Latent Print Examination

1. Human Factors in Latent Print Examination Moderator: Melissa Taylor Program Manager Law Enforcement Standards Office National Institute of Standards and Technology Client Logo

2. Latent print Exemplar print Latent print from an ashtray and an exemplar print

3. Expert Working Group on Human Factors in Latent Print Analysis Conduct a scientific assessment of the effects of human factors on forensic latent print analysis with the goal of recommending strategies and approaches to improve its practice and reduce the likelihood of errors. BIG QUESTION: What prevents an examiner from achieving excellence? SCIENTIFIC ASSESSMENT DEFINED: A scientific assessment is an evaluation of a body of scientific or technical knowledge that typically synthesizes multiple factual inputs, data, models, assumptions, and/or applies best professional judgment to bridge uncertainties in the available info.

4. The membership of the Working Group represents diverse backgrounds and geographic regions • The Working Group includes forensic scientists, statisticians, psychologists, researchers, and individuals from the legal community, professional organizations and other identified stakeholder groups, representing a range of perspectives. • Members were selected based on demonstrated and recognized expertise in the forensic sciences and/or a relevant field of work; ability to balance scientific rigor with practical and regulatory constraints; and ability to work as a member of a team.

5. Human Factors Defined • The study of human factors is “the scientific discipline concerned with the understanding of interactions among humans and other elements of a system, and the profession that applies theory, principles, data, and other methods to design in order to optimize human well-being and overall system performance.” • International Ergonomics Association, What is Ergonomics • Human factors research has resulted in significant reductions in errors and accidents in other high-risk industries such as aviation, health care, mining, and nuclear power

6. Lessons from Human Factors Research • Errors occur in all human endeavors • The root causes of errors can be known • Many errors are caused by activities that rely on weak aspects of cognition • short-term memory • attention span • Errors can be prevented by designing tasks and processes that minimize dependency on weak cognitive functions • Fear of punishment for performance errors inhibits error reporting

7. Through a consensus process, the working group has developed a single text embodying the sum of joint efforts • Our process provided every group member with an opportunity to influence the final decision. • Members of the group reach substantial agreement, not necessarily unanimity. • Consensus is finding an acceptable proposal that all members can support. • The report will represent the total results of the group, including not just where consensus was achieved but also those topics where disagreements remain.

8. Project Roadmap Report Release External Review Latent Print Process Map 2nd round of review Voted on recommendations NIJ Approved Project Plan for Human Factors in Forensic Science WG Series First round of internal draft review NAS Report Released Draft chapter outlines • Developed topic outlines for subgroups Finalized latent print analysis process map NIJ Membership Approval • Conducted latent print analysis • workshop • Human error • Models workshop Funding Approved • Refined mission, • scope, and objectives Project Plan/ Charter Created Kick Off Meeting December 2008 Membership Canvassing Project Plan Initiation 2008 2011 2009 2010

9. The issues of bias and error are critical to assessments of the role of human factors in latent print analysis. The working group focused on the term bias as it is used in he following three disciplines: Law Statistics Cognitive Psychology

10. Like “bias,” the word “error” has a multitude of possible meanings This report addresses the relationship between human factors and the two conceptions of error: Procedural and Outcome Error

11. Deborah Boehm-Davis, Professor, Psychology Department, George Mason University, Fairfax, Virginia • Dr. Boehm-Davis is University Professor and Chair of the Psychology Department at George Mason University • She worked on applied cognitive research at General Electric, NASA Ames Research Center, and Bell Laboratories prior to joining GMU in 1984. • Her research focuses on how human performance is helped or hindered by the design of tools that help us accomplish everyday tasks with a particular interest in how improving the display of information improves human performance. • She holds doctorate and master’s degrees in cognitive psychology from the University of California, Berkeley, and a bachelor’s degree in psychology from Rutgers University (Douglass College).

12. Human Factors and Contextual Influences on Decision-making Deborah A. Boehm-Davis George Mason University

13. Melissa Gische, Physical Scientist, Latent Print Operations Unit, Federal Bureau of Investigation Laboratory,Quantico, Virginia • Melissa Gische is a Physical Scientist/Forensic Examiner with the Latent Print Operations Unit at the Federal Bureau of Investigation Laboratory in Quantico, VA. • She is qualified as an expert witness in the discipline of latent prints and has testified in Federal and State courts. • She is a member of the National Science and Technology Council Subcommittee on Forensic Science and the National Institute of Justice/National Institute of Standards and Technology Expert Working Group on Human Factors in Latent Print Analysis. • Ms. Gische received a master’s degree in forensic sciences from The George Washington University and a bachelor’s degree in psychobiology from the University of California, Los Angeles.

14. Why is it Important to Document a Process? Understanding the steps in a process, their order & dependencies, who’s responsible, how long they take and other key pieces of information helps an organization: • Raise visibility of process issues • It provides a baseline from which to measure productivity and improvement • Captures knowledge so it can be used to train others This will enable the organization to: • Reduce the “hidden factory” and document how the work is really done • Eliminate “working by folklore” • And make the cultural shift from “who made the error” to “what allowed the error to occur”

15. The Latent Print Analysis Process NIST/NIJ Expert Working Group on Human Factors in Latent Print Analysis THIS PROCESS MAP IS INTENDED TO BE DESCRIPTIVE ONLY Process Mapping … … is a workflow diagram to bring forth a clearer understanding of a process or series of parallel processes. It • shows how the work gets done. • visually represents the work process. • Describes the “sequence” of processing.

16. Why Process Mapping? • Process mapping: • Identifies problem areas and opportunities for process improvement • Provides a common understanding of the entire process and specific roles and contributions of process participants. • Before you can improve a process, you must understand it. • Process maps are good for: • Streamlining work activities and telling new people, as well as internal and external customers, "what we do around here.” • Helping in the effort to reduce cycle time, avoid rework, eliminate some inspections or quality control steps, and prevent errors. • Process maps are a great problem solving tool • Helps us determine what is the problem/what it is not

17. Constructing a Process Map Iowa State University - www.fpm.iastate.edu/worldclass/process_mapping.asp • Step 1: Determine the Boundaries - Determine the start and stop points to your flow of process steps • Where does a process begin? • Where does a process end? • Step 2: List the Steps - Write down the process steps as they exist now.
(Rule of thumb: Pretend your are the evidence). • Use a verb to start the task description. • The flowchart can either show the sufficient information to understand the general process flow or detail every finite action and decision point. • At a minimum, record the process steps, decision points, and transportation methods • Step 3: Sequence the Steps • Use post-it notes so you can move tasks • Do not draw arrows until later. Once you have roughly mapped out the process, make it more formal by adding symbols.

18. Commonly Used Process Mapping Symbols External Transportation Activity (Process Step) Decision Point Start/Stop Inventory/Storage Data box for recording cycle time, first time quality and other process operating characteristics Data Box Push Material • Process Direction Flow

19. Constructing a Process Map • Step 4: Draw Appropriate Symbols • If there are feedback arrows, make sure feedback loop is closed; i.e. it should take you back to the input box. • Create ‘Swim Lanes’ to depict activities that are conducted simultaneously. • Step 5: Check for Completeness • Include pertinent chart information, using title and date for easy reference. • Step 6: Finalize the Flowchart • Ask if this process is being run the way it should be. • Are people following the process as charted? • Do we have a consensus? • What is redundant; add what is missing.