SWGGUN Quality Assurance Guidelines Page 1 of 6 Revised 04/07/2009

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
SWGGUN Quality Assurance Guidelines Page 2 of 6 Revised 04/07/2009

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.
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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.
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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.
SWGGUN Quality Assurance Guidelines Page 5 of 6 Revised 04/07/2009

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:

1. Test identifier

2. Identity of the employee

3. Dates of receipts, analysis, and return for each test

4. Copies of results and all data and case documentation

5. Results of review by appropriate individual(s)

6. 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.
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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:

1. Quality assurance program

2. Personnel

3. Facilities

4. Equipment calibration and maintenance

5. Proficiency testing

6. Testimony monitoring

7. Training

8. Casework records

9. Safety

15.0 References

1. ASCLD/LAB International, 2006 Supplemental requirements for the

accreditation of forensic science laboratories, effective January 24, 2006