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SWGGUN Systemic

Requirements/Recommendations for the

Forensic Firearm and Toolmark Laboratory

PREAMBLE

The Scientific Working Group for Firearms and Toolmarks (SWGGUN) was

established by the FBI in 1998 as an international body of experts that are

representative of the experience and knowledge in the discipline of Firearm and

Toolmark Identification. The group is comprised of 20 regular board members, an

American Society of Crime Lab Directors (ASCLD) representative and the current

President of the Association of Firearm and Tool Mark

Examiners (AFTE).1

The Scientific Working Groups have been tasked by the National Academy of

Sciences (NAS) in the report entitled Strengthening Forensic Science in the United

States: A Path Forward 2 with directing the forensic science communities in the

establishment of standardized procedures and protocols. The following document is

in response to this request.

The following requirements/recommendations have been approved by the

SWGGUN Board Members. While not enforceable, the following minimum

standards are strongly encouraged to be adopted by laboratory management to

ensure the reliability of Firearm and Toolmark examination results.

INTRODUCTION

The Science of Firearm/Toolmark Identification continues to be challenged by critics

within the legal community and the media. The National Academy of Sciences has

issued reports critical of the scientific foundations of the discipline. 2,3 Other critics in

the legal and academic fields have identified mistakes made by crime laboratories

which have resulted in massive overhauls of the identified systems and evaluations of

previous casework of the affected examiners. 9-13 These critics have argued that

there is a lack of empirical research and that the validity of the science has yet to be

established.9-13 They also claim that the methods which examiners employ during the

examination and evaluation of firearm and toolmark evidence have yet to be

standardized. 9-12

The reliability of the science has been demonstrated and supported through

proficiency tests and validity studies over many decades.14 The calculated error rates

indicate that the conclusions reached are accurate when appropriate methods are

followed by a competent examiner.14 Methods and standards have been established
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by the Association of Firearm and Tool Mark Examiners (AFTE), the Scientific

Working Group for Firearms and Toolmarks (SWGGUN) and the American Society

of Crime Laboratory Directors/Laboratory Accreditation Board (ASCLD/LAB).

However, many of these standards and guidelines are presently recommendations

and have not been mandated or universally applied across the United States.

Errors in casework that have been identified appear to have been caused by

examiners with poor ethical standards, inadequate training, scientifically unsound

protocols and/or working under undue pressure to produce results.4-8 Apparently,

the laboratories identified lacked sufficient quality assurance measures necessary

to ensure a reliable work product.

The Scientific Working Group for Firearm and Toolmark Identification (SWGGUN)

provides the following requirements/recommendations to guide forensic science

laboratory management in the development and maintenance of a competent

Firearm and Toolmark Identification Unit. Through proper training, ethical

standards, continued education and a comprehensive quality assurance program,

the reliability of the science can be demonstrated.

EXAMINER QUALIFICATIONS

A comprehensive training program is essential to ensure that an examiner obtains

the knowledge and skills necessary to accurately evaluate evidence and articulate

examination conclusions in reports and during testimony. A quality training program

will typically take between 18 and 30 months, and will require direction from a

qualified examiner who will serve as a Training Officer.

The SWGGUN guidelines recommend that a firearm and toolmark trainee possess a

minimum of a "Bachelor's degree in a natural/physical science based field of study

from an accredited academic institution." (SWGGUN Minimum Qualifications for

Firearm and Toolmark Examiner Trainees)

A sound training program will include all areas in which the trainee will become

qualified. Training modules should include the following:

1. Administrative Matters and Procedures

2. Background/History of Firearms Identification and Current Trends

3. Firearms and Ammunition Development and Current Trends

4. Manufacture of Modern Firearms

5. Manufacture of Modern Ammunition

6. Instrumentation

7. Examination of Firearms

8. Bullet Examinations and Comparisons

9. Cartridge/Cartridge Case Examinations and Comparisons

10.Shotshell/Shotshell Component Examinations and Comparisons

11.Gunshot Residue Examinations and Distance Determinations

12.Toolmark Examinations and Comparisons
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13.Serial Number Restoration

14.Case Documentation, Report Writing and Expert Testimony

15.Ethics

The trainee will be tested through the use of training assignments, practical

exercises and competency tests. An examiner will gain technical knowledge through

training assignments that will consist of collecting information utilizing available

resources including books, scientific journals, relevant periodicals, reference firearm

and ammunition collections, internet, lectures and personal communications with

subject matter experts. The application of this technical information will be in the

form of practical exercises. These exercises include hands-on examinations of

specimens which demonstrate the trainee's ability to apply the knowledge gained

during the training assignments. A trainee's proficiency of a technique or procedure

will be evaluated by the training officer through the use of written, oral or

demonstrative competency tests. The results of these tests must be documented

and retained. Successful completion of competency tests is necessary to satisfy

the requirements of a particular module.

Trainees are to be afforded the opportunity to attend manufacturing facilities

including those that produce firearms, tools and ammunition. Observing these

manufacturing processes is essential to understanding the fundamental

propositions on which the science of Firearm and Toolmark Identification is based.

Examiners will demonstrate their ability to professionally communicate the

technical knowledge acquired during training through successful completion of

mock cases, oral boards and moot courts. Mock cases are designed to be similar

to casework and will encompass techniques and procedures covered during

training. Technical competency will be evaluated through oral board assessments

by subject matter experts. Upon successful completion of the oral boards and

mock cases, a trainee will be evaluated throughmoot courts. The trainee will be

expected to successfully articulate the scientific foundations, examination

procedures and results.

Certification will be granted to the examiner by the training laboratory upon

successful completion of the training program. External certifications are available

through organizations such as the Association of Firearm and Tool Mark

Examiners and the American Board of Criminalistics.

The newly qualified examiner will continue to be monitored through supervised

casework until deemed appropriate by the training officer. Qualified examiners are to

be afforded a minimum of 20 hours annually to pursue continuing education in their

areas of expertise. An examiner must stay abreast of developments within the field of

Firearm and Toolmark Identification by reading relevant scientific literature and

through continuing education activities such as attending conferences, armorers

courses, manufacturing tours and/or participating in research.
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QUALITY ASSURANCE MEASURES

A comprehensive quality assurance program will be established to ensure the

quality of the work product is reliable. The following measures are essential in

instituting a comprehensive quality assurance program.

Standardized procedures will be developed by a laboratory to provide guidance in

the examination, documentation and reporting of firearm and toolmark related

evidence. Part of the standardized procedures will include a verification process

where an independent check of the evidence is performed by an individual having

expertise in the discipline (SWGGUN Quality Assurance Guidelines).

A technical review of the case file documentation will be performed by another

qualified examiner to ensure that the proper procedures were utilized and that

the data collected supports the conclusions reported. An administrative

review will be performed to ensure that the case file is complete, has been

properly documented and reported results were in accordance with the

laboratory's policies.

Annual proficiency tests will be completed by each examiner in the disciplines in

which they are qualified. Testimony Evaluation will be performed periodically and

documented by appropriate personnel. This evaluation will be reviewed by the

supervisor and discussed with the examiner.

Internal and/or external audits of the laboratory will be performed periodically

to ensure compliance with laboratory policies and procedures, standards

established within the discipline and standards established by accrediting

bodies. These audits will include a case file review of a representative sample

of the cases completed by each examiner to ensure that all case documentation

complies with the policies of the laboratory and the standards established within

the discipline.

The SWGGUN strongly urges that laboratories performing Firearm and Toolmark

Identification work be accredited by an external accrediting body such as the

American Society of Crime Laboratory Directors/Laboratory Accreditation Board

(ASCLD/LAB) or Forensic Quality Services-International (FQS-I).
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References:

1. www.swggun.org

2. Committee on Identifying the Needs of the Forensic Science Community,

National Research Council, "Strengthening Forensic Science in the United

States: A Path Forward," The National Associated Press, 2009.

3. Cork, D.L., Rolph, J.E., Meieran, E.S. Petrie, C.V.; Committee to

Assess the Feasibility, Accuracy and Technical Capability of a

National Ballistics Database, National Research Council, "Ballistic

Imaging," The National Academics Press, 2008.

4. Williams, C., "Error-prone Detroit police crime lab shut down,"

Associated Press Archive, September 26, 2008

5. Shen, M., "Errors found in state forensic

scientist's work,"

http://www.komonews.com/news/7231231.h

tml

6. McMenamin, J., "Police expert lied about credentials," Baltimore Sun,

March 9, 2007

7. Moore, S., "Science Found Wanting in Nation's Crime Labs," The

New York Times, February 5, 2009.

8. Howard, K., "Ballistic Lab Shut Because of Errors," The Tennessean, April

12, 2008.

9. Saks & Koehler, "The Coming Paradigm Shift in Forensic Identification

Science," 309 Science 892, 2005.

10. Saks & Faigman, "Failed Forensics: How Forensic Science Lost its Way

and How it Might Yet Find It," Annual Review of Law and Social

Science, July 2008.

11. Schwartz, A. "Challenging Firearms and Toolmarks Identification --

Part One," The Champion: National Association of Criminal Defense

Lawyers, October 2008.

12. Schwartz, A. "Challenging Firearms and Toolmarks Identification -- Part

Two," The Champion: National Association of Criminal Defense

Lawyers, November/December 2008.

13. U.S. v. Glynn (2008, S.D.N.Y) 578 F. Supp 2d

14. Nichols, R.G., "Defending the Scientific Foundations of the Firearms

and Tool Mark Identification Discipline: Responding to Recent

Challenges," Journal of Forensic Sciences, Volume 52, No. 3, pps. 586-

594, May 2007.