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Scientific Working Group for Forensic Anthropology (SWGANTH)

Proficiency Testing

Issue date: 08/02/2012

Revision: 0

Proficiency Testing

1.0 Principle, Spirit, and Intent 

The implementation of a robust and standardized proficiency testing program is an important 

component of a forensic anthropology service provider’s quality assurance system. 

Proficiency tests have a wide range of quality assurance applications. While proficiency tests 

can be used to evaluate individual proficiency, their larger intent is to verify that a laboratory’s 

forensic analytical operations are effective and that the quality of the work is being maintained. 

2.0 Purpose and Scope 

These guidelines recommend best practices for a proficiency testing program as it pertains to 

forensic anthropology. Competency testing, an integral part of the forensic training process, is 

administered to assess technical skills, knowledge, and abilities, but is not addressed in this 

document. 

Practitioners of forensic anthropology should implement these guidelines to the fullest extent as 

applicable, practical, and appropriate. In the absence of specific guidelines or in the case of 

conflicting procedures, the principle, spirit, and intent should be met. 

3.0 General Principles 

3.1 Definition and Uses of Proficiency Tests 

Proficiency testing is the evaluation of practitioner performance against pre-established criteria. 

External proficiency testing may be used for inter-laboratory comparisons, while internal 

proficiency testing may be used for intra-laboratory comparisons. The intended purposes and 

outcomes of proficiency testing must be balanced against resource expenditures (including time), 

productivity, its effectiveness as a quality assurance measure, and satisfying accreditation or 

other regulatory requirements. 

A proficiency testing program is one of many quality assurance measures that allow the 

laboratory to demonstrate its ability to: 

Confirm continued competent performance 

Compare performance with other laboratories

Compare performance amongst analytical staff 
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Identify areas for improvement 

Ensure customer confidence in the reliability of the laboratory’s work product

Proficiency tests assess the quality of operations. At the laboratory level, proficiency testing 

may reveal: 

Ambiguities, inadequacies or other problems with standard operating procedures (SOPs)

Gaps in training programs 

Problems with equipment and equipment maintenance, calibration and performance 

check programs 

Instability of examination materials 

Problems with methods 

Additionally, on a profession-wide level, proficiency tests are useful for: 

Generating uncertainty of measurement data 

Identifying inter-laboratory trends or trends in laboratory systems 

Generating inter-observer error data and trends 

3.2 Types of Proficiency Tests 

3.2.1 External vs. Internal Tests 

An external proficiency test is obtained from and reported to a provider external to the 

laboratory’s quality assurance system. An internal proficiency test, however obtained, is 

reported within the laboratory’s quality assurance system. 

3.2.2 Open vs. Blind Tests 

An open proficiency test is one in which the analysts are aware they are being tested, while a 

blind proficiency test is one in which the analysts are unaware they are being tested. While both 

are used in the forensic science community, open proficiency tests are more common and more 

practical. 

4.0 Best Practices 

4.1 Laboratory Proficiency Testing Program 

The laboratory’s proficiency testing program should include policies, guidance, and procedures 

for: 

Identifying and defining the analytical tests the laboratory performs (e.g., estimating 

biological profile, trauma analysis)

Establishing criteria for the evaluation of proficiency tests
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Providing instructions for testing in infrequent or specialty examinations (e.g., histology, 

scanning electron microscope)

Scheduling tests (it is recommended that each analyst is proficiency tested annually, with at 

least one analyst participating in an external proficiency test annually)

Securing the tests from deliberate or accidental loss of integrity

Selecting analysts for external proficiency testing

Selecting the individual(s) administering the test(s)

Retaining proficiency test records (it is recommended that test records be retained for at 

least five years)

Reviewing proficiency test, to include corrective action procedures and root cause 

analysis when failures occur. 

Administering and documenting proficiency tests

As applicable, the documentation of a laboratory’s proficiency testing program should include, at

a minimum: 

The test set identifier (i.e., unique identification number) 

How samples or testing materials were obtained or created 

Identity of the individual administering the test

Identity of the analyst taking the test 

Date of analysis and completion 

Originals or copies of all data and notes supporting the conclusions 

Proficiency test results 

Any discrepancies noted 

Indication that performance has been reviewed and feedback provided to the analyst

taking the test 

Details of the corrective actions taken (when necessary) 

In addition, the laboratory should: 

Periodically conduct an independent review and assessment of proficiency testing results 

using subject matter experts

Periodically perform intra- and inter-laboratory comparisons of proficiency test results

Review overall performance in proficiency testing and, when necessary, take corrective 

action

4.2 Test Formats, Materials and Procedures 

The following should be considered when developing, administering, and taking proficiency 

tests: 

The laboratory’s SOPs should be followed

Tests should be sufficiently rigorous and represent the challenges of forensic casework

Tests should use a hands-on format and produce an analytical result
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The proficiency test should be a single task within the area being tested (e.g., estimating 

sex from the head of a femur)

Tests should be graded pass/fail

Whenever possible, the laboratory should obtain external proficiency testing materials 

from accredited proficiency test providers

Human anatomical specimens, high quality casts and reproductions, and graphic 

exemplars (photographs, radiographs, and other imagery) are acceptable as proficiency 

test materials depending on the circumstances and nature of the task being tested

Proficiency test materials should maintain uniformity and not change over time, and 

material should be reviewed following a regular schedule to assess the material for 

deterioration or damage

Acceptable ranges for analytical measurements and final results should be defined

It is acceptable to forego a priori correct results in favor of determining ‘pass’ standards 

post facto; that is, after all proficiency tests are completed and the range of results is 

tabulated

Successful completion of a proficiency test means either obtaining the defined response 

or completing corrective actions pursuant to laboratory policy and/or directives from 

external agencies, as appropriate

Corrective action pertaining to test failures, including root cause analysis, should be fully

documented

5.0 Unacceptable Practices 

The following practices are considered unacceptable and should be avoided when administering 

or taking proficiency tests: 

Automatically attributing proficiency test failures to lack of individual proficiency 

Over-reliance on proficiency test results to evaluate laboratory quality or individual 

proficiency 

Unconditionally excusing or providing waivers to analysts from taking annual 

proficiency test(s) 

Using proficiency test results to determine methodological error rates

Using only non-analytical tasks (e.g., proper opening and sealing of an evidence bag) as a 

proficiency test 

Putting evidence, personnel or other resources at risk while performing proficiency 

testing 

Failing to secure or control information in proficiency tests 

Using non-validated or discredited methods in proficiency tests 
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6.0 Additional Considerations 

Adherence to the guidelines in this document is not necessarily sufficient to satisfy accreditation 

requirements. For accreditation requirements, please refer to the relevant accrediting 

organization. 

Implementing a proficiency testing program can be accomplished independent of accreditation. 

For small laboratories and sole providers, forming partnerships and cooperation agreements is 

recommended.