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SWGGUN Quality
Assurance Guidelines
1.0 Scope and Use
It is the goal of a forensic laboratory’s firearms and
toolmarks program to provide the users of these services
access to quality firearms and toolmarks evidence
examinations. These guidelines provide a framework of
standards for quality and integrity in the firearms and
toolmarks examination processes, evidence handling, evidence
evaluation, reporting and testimony. This document pertains to
the personnel performing firearms and toolmarks evidence
examination in forensic laboratories.
2.0 Definitions
As used in these guidelines, the following terms are defined
as follows:
Administrative Review: A review of the report and supporting
documentation for compliance with laboratory policies and for
editorial correctness.
Audit: An inspection for the purpose of evaluating laboratory
functions and compliance with established criteria.
Calibration: The set of procedures, which establish a known
value to an instrument’s reading.
Examiner: An individual who conducts and/or directs the
analysis of evidence; interprets the data and reaches
conclusions.
Proficiency Test: A quality assurance measure used to monitor
performances and quality through the examination and
interpretation of a prepared sample whose results have
previously characterized.
Quality Assurance: Planned systematic actions used to ensure
that a service or product will meet specified requirements for
quality.
Quality Control: Daily operational procedures designed to
ensure quality.
Technical Review: An evaluation of evidence and/or a report
and supporting documentation to ensure an appropriate basis
for the conclusions. Such a review is conducted by a second
individual qualified in the discipline.
Technical/Laboratory Aide: An individual who performs basic
analytical procedures on evidence items under the supervision
of a qualified examiner. Technicians/Laboratory Aides do not
evaluate evidence or reach conclusions.
Validation:
The process or processes by which a procedure or
technique is evaluated to assess the reliability of the
procedure and to determine the conditions under which accurate
results can be obtained.
Verification: an independent evaluation of a
conclusion by an individual having expertise in the
discipline being reviewed.
3.0 Facilities
The laboratory shall have a facility that is designed to
provide adequate safety and security as well as to minimize
contamination. The laboratory shall ensure that:
3.1 Access to the laboratory is controlled and limited.
3.2 Access to the firearms and toolmarks area is controlled
and limited.
3.3 Facilities permit evidence to be stored in such a manner
so as to prevent loss, contamination and/or deleterious
change.
4.0 Evidence Handling
The laboratory shall have and follow a documented evidence
control system to ensure the integrity of the physical
evidence. Such a system shall ensure that:
4.1 Evidence is appropriately sealed and marked for
identification.
4.2 A chain of custody record for all evidence is maintained.
4.3 Secure areas with limited access exist for evidence
storage.
5.0 Personnel
The laboratory personnel shall have education, training and
experience commensurate with their duties. The laboratory
shall:
5.1 Have written job descriptions for personnel to include
responsibilities, duties and skills.
5.2 Have a documented training program for all Examiners and
Technicians/Laboratory Aides to include a competency test(s).
5.3 Encourage and support employees to participate in
continuing education such as: reading current discipline
literature, visiting relevant manufacturing facilities,
attending relevant training courses, professional seminars and
meetings.
5.4 Maintain records on the relevant education, training,
skills and experience of technical personnel.
6.0 Equipment and Materials
The laboratory shall use only suitable and properly operating
equipment for the procedures employed. Material must be of
suitable quality and compatible with the methods employed.
6.1 The laboratory shall have a documented program for the
calibration of instruments and equipment. Where available and
appropriate, standards traceable to national or international
standards shall be used for calibration.
6.2 The laboratory shall have a documented program to ensure
that instruments and equipment are properly maintained. New
instruments and equipment shall be calibrated before being
utilized in casework.
6.3 Reagents prepared and stored in the laboratory must be
labeled and tested prior to their use in casework. Labels
shall include the identity of the reagent, the identity of the
person who prepared the reagent, special handling instruction
(if applicable), and preparation/expiration date (if
applicable).
7.0 Analytical Procedures
The firearms and toolmarks disciplines shall have and follow
accepted, written procedures for the analysis of physical
evidence.
7.1 The laboratory shall have a recommended protocol for each
routine examination technique utilized.
7.2 The standard operating protocols shall identify the
procedures which include: the equipment and materials
necessary, examination steps, general guidelines for the
interpretation of data, safety precautions (if applicable) and
references.
7.3 The examiner shall use accepted / validated techniques and
procedures for the analysis of evidence
8.0
Verification of Conclusions 1
A
laboratory shall have policies in place to verify
conclusions reached within the firearm and toolmark
discipline. These evaluations, which result in a
conclusion include, but are not limited to, comparisons,
distance determinations and serial number restorations.
8.1 Personnel
performing verifications should be properly trained
in the discipline; and their subsequent ability to
perform these tests should be formally assessed as
per laboratory protocols.
8.2 As defined by the
laboratory’s policy, the verification process should
include a mechanism of how cases are selected for
review. In cases other than 100% verification, the
analyst should not choose which cases will be
verified.
8.3 It is recommended
that a new examiner have all (100%) casework
verified for a period of time as defined by
laboratory policy.
8.4 The laboratory
shall have a protocol as to the acceptable method of
verification. It is strongly recommended that the
verification be performed by evaluating the physical
evidence.
8.5 Documentation of
the verification should be indicated in the case
record.
8.6 The laboratory
shall have a procedure for addressing situations
involving a discrepancy of conclusions.
9.0 Reporting of Results
The laboratory shall have and follow procedures for note
taking and the reporting of results.
9.1 The laboratory shall maintain in the case record all
documentation generated by examiners related to the case
analysis.
9.2. Technical Review:
A laboratory shall have policies in place for the
technical review of examination documentation and
reports within the firearm and toolmark discipline.
The procedure shall ensure that the conclusions of
an examiner are reasonable, within the constraints
of validated scientific knowledge, and supported by
the examination documentation. The procedure shall
define the scope of the technical review, establish
the parameters of the review process, specify how
technical reviews are documented, and describe a
course of action to be taken if a discrepancy is
found. [5.9.4]
9.2.1 The
laboratory shall establish the number of cases
to be reviewed
9.2.2 Technical
reviews shall be conducted by a second
individual qualified in the discipline.
9.2.2.1 An individual conducting the technical
review need not be an active analyst in the
discipline or currently being proficiency tested
in the discipline
9.2.3 Technical
reviews should not shift the perceived
responsibility for the scientific findings from
the examiner to the reviewer.
9.3 Administrative
Review: The laboratory shall establish a procedure
which requires administrative review of the case
file prior to the release of each report. Laboratory
policy shall define the scope of the review, who may
conduct administrative reviews and how the
administrative review is documented. [5.9.5]
9.3.1
Administrative reviews, in whole or part, may be
independent of technical reviews or may be
combined as one process.
10.0 Proficiency Testing
Proficiency testing pertains to Examiners and
Technicians/Laboratory Aides engaged in the disciplines of
firearms and toolmarks. The laboratory shall have and follow a
written program of proficiency testing.
10.1 At least one proficiency test in each practiced discipline
must be completed annually by personnel actively engaged in
the analysis of firearms and toolmarks evidence.
10.2 Test samples must be of sufficient quality that a
conclusion can be drawn from the results of the
analysis/comparison.
10.3 The following records for proficiency tests shall be
maintained:
a. Test identifier
b. Identity of the employee
c. Dates of receipts, analysis, and return for each test
d. Copies of results and all data and case documentation
e. Results of review by appropriate individual(s)
f. Corrective action, if necessary
10.4 The laboratory shall establish and follow procedures for
corrective action whenever discrepancies are identified in
proficiency testing.
11.0 Validation of New Techniques and Procedures
The laboratory shall validate techniques and procedures for
the analysis of evidence.
11.1 Any techniques and procedures shall be validated prior to
utilization in casework.
11.2 New techniques and procedures must undergo validation to
ensure accuracy and reproducibility prior to utilization in
casework.
11.3 Validation shall be performed and documented by the
laboratory.
11.4 Peer review can be part of the validation process.
12.0 Testimony Monitoring
The laboratory shall establish and follow a program of
testimony monitoring for all firearms and toolmark examiners.
The purpose is to insure that the testimony clearly conveys
the results of analysis in a reliable, accurate, factual and
unbiased manner.
12.1 The frequency of monitoring shall be established. Yearly
monitoring is recommended.
12.2 Appropriate records of such monitoring shall be
maintained.
12.3 Corrective action procedures shall be established and
followed for problems identified during testimony monitoring.
13.0 Safety
The laboratory shall provide a safe working environment for
personnel.
13.1 The laboratory shall operate in accordance with the
regulations of the pertinent government environmental, health
and safety authorities.
13.2 Laboratory safety manuals and training will be available
to all designated laboratory personnel and must address the
handling of safety issues.
13.3 A Material Safety Data Sheet (MSDS) file shall be
maintained for chemicals used in the firearms/toolmarks area.
13.4 All chemicals, biohazards, explosive materials and
supplies must be stored and disposed of in accordance with
applicable regulations and laboratory policies.
14.0 Audits
Personnel responsible for the quality assurance program should
conduct audits at least once a year. The audit should address
the following areas:
-
Quality assurance program
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Personnel
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Facilities
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Equipment calibration and maintenance
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Proficiency testing
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Testimony monitoring
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Training
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Casework records
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Safety
15. References
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ASCLD/LAB International, 2006 Supplemental
requirements for the accreditation of forensic
science laboratories, effective January 24, 2006
Revised
04/07/09
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