Guidance for the Implementation of ISO/IEC 17020 in the ... · EA-5/03 Guidance for the...

EA-5/03 Guidance for the implementation of ISO/IEC 17020 in the field of crime scene investigation

Publication Reference

EA-5/03

Guidance for the Implementation of ISO/IEC 17020 in the field of

crime scene investigation

PURPOSE The purpose of this document is to provide guidance on the implementation of ISO/IEC 17020 in the field of crime scene investigation in the forensic process. It is also intended to harmonise the assessment of crime scene investigation services for the purpose of accreditation. ISO/IEC 17020 remains the authoritative document and IAF ILAC A4 the top level general guidance document. Where the text of ISO/IEC 17020 or guidance in IAF ILAC A4 is sufficient, no further guidance has been included in this document. This document was ratified by the General Assembly of EA on 17 November 2008 and by the General Assembly of ENFSI on 15 May 2008.

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Authorship The joint EA-ENFSI working group on the quality of crime scene investigations has prepared this document on behalf of EA and ENFSI. Official language The text may be translated into other languages as required. The English language version remains the definitive version. Copyright The copyright of this text is held by EA and ENFSI jointly. The text may not be copied for resale. Further information For further information about this publication, contact your national member of EA or ENFSI. Please check the websites of EA and ENFSI for update information. Category: 3 - EA MLA Sector specific documents Date of approval: November 2008 Date of implementation: For present accreditations to ISO/IEC 17020 for scene of crime investigations, this document shall have been implemented at the latest a year after the date of approval. For new applications for accreditation it can apply immediately and at the latest 1 year after the date of approval.



CONTENTS INTRODUCTION....................................................................................................................... 5 1. SCOPE ................................................................................................................................... 7

1.1 Guidance to §1.1 of ISO/IEC 17020 ................................................................................ 7 1.2 Guidance to §1.2 of ISO/IEC 17020 ................................................................................ 7 1.3 Guidance to §1.3 of ISO/IEC 17020 ................................................................................ 7 1.4 Guidance to §1.4 of ISO/IEC 17020 ................................................................................ 7

2. DEFINITIONS........................................................................................................................ 8 2.1 Client ................................................................................................................................ 8 2.2 Contamination .................................................................................................................. 8 2.3 Crime scene ...................................................................................................................... 8 2.4 Exhibit .............................................................................................................................. 8 2.5 Evidence ........................................................................................................................... 8 2.6 Forensic process ............................................................................................................... 8 2.7 Impartiality ....................................................................................................................... 8 2.8 Inspection body ................................................................................................................ 8 2.9 Investigator....................................................................................................................... 8 2.10 Non-conformity.............................................................................................................. 9 2.11 Quality system................................................................................................................ 9 2.12 Subcontractor ................................................................................................................. 9 2.13 Temporary personnel...................................................................................................... 9

3. ADMINISTRATIVE REQUIREMENTS.................................................................................. 9 3.1 Guide to § 3.3 of ISO/IEC 17020..................................................................................... 9 3.2 Guidance to §3.4 of ISO/IEC 17020 ................................................................................ 9

4. INDEPENDANCE, IMPARTIALITY AND INTEGRITY ...................................................... 10 4.1 Guidance to §4.1 of ISO/IEC 17020 .............................................................................. 10 4.2 Guidance to §4.2.1 of ISO/IEC 17020 ........................................................................... 10 4.3 Guidance to §4.2.2 of ISO/IEC 17020 ........................................................................... 11 4.4 Guidance to §4.2.3 of ISO/IEC 17020 ........................................................................... 11

5. QUALITY SYSTEM .............................................................................................................. 12 5.1 Guidance to §7.6 (a) of ISO/IEC 17020......................................................................... 12 5.2 Guidance to §7.6 (b) of ISO/IEC 17020 ........................................................................ 12 5.3 Guidance to §7.6 (c) of ISO/IEC 17020......................................................................... 12 5.4 Guidance to §7.6(d) of ISO/IEC 17020 ......................................................................... 12 5.5 Guidance to §7.7 of ISO/IEC 17020 .............................................................................. 13 5.6 Guidance to §7.8 of ISO/IEC 17020 .............................................................................. 13 5.7 Guidance to §7.9 of ISO/IEC 17020 .............................................................................. 14

6. PERSONNEL........................................................................................................................ 14 6.1 Guidance to §8.1 of ISO/IEC 17020 .............................................................................. 14 6.2 Guidance to §8.2 of ISO/IEC 17020 .............................................................................. 14 6.3 Guidance to §8.3 of ISO/IEC 17020 .............................................................................. 15 6.4 Guidance to §8.4 of ISO/IEC 17020 .............................................................................. 15 6.5 Guidance to §8.5 of ISO/IEC 17020 .............................................................................. 15 6.6 Guidance to §8.6 of ISO/IEC 17020 .............................................................................. 16

7. FACILITIES AND EQUIPEMENT ...................................................................................... 16 7.1 Guidance to §9.1 of ISO/IEC 17020 .............................................................................. 16 7.2 Guidance to §9.2 of ISO/IEC 17020 .............................................................................. 16 7.3 Guidance to §9.3 of ISO/IEC 17020 .............................................................................. 17 7.4 Guidance to §9.4 of ISO/IEC 17020 .............................................................................. 17



7.5 Guidance to §9.5 of ISO/IEC 17020 .............................................................................. 17 7.6 Guidance to §9.6 of ISO/IEC 17020 .............................................................................. 17 7.7 Guidance to §9.7 of ISO/IEC 17020 .............................................................................. 17 7.8 Guidance to §9.10 of ISO/IEC 17020 ............................................................................ 17 7.9 Guidance to §9.13 of ISO/IEC 17020 ............................................................................ 17 7.10 Guidance to §9.14 of ISO/IEC 17020 .......................................................................... 17 7.11 Guidance to §9.15 of ISO/IEC 17020 .......................................................................... 18

8. INSPECTION METHODS AND PROCEDURES ................................................................ 18 8.1 Guidance to §10.1 of ISO/IEC 17020 ............................................................................ 18 8.2 Guidance to §10.2 of ISO/IEC 17020 ............................................................................ 18 8.3 Guidance to §10.3 of ISO/IEC 17020 ............................................................................ 18 8.4 Guidance to §10.5 of ISO/IEC 17020 ............................................................................ 18 8.5 Guidance to §10.8 of ISO/IEC 17020 ............................................................................ 19

9. HANDLING INSPECTION SAMPLES AND ITEMS [EXHIBIT] ........................................ 19 9.1 Guidance to §11.1 of ISO/IEC 17020 ............................................................................ 19 9.2 Guidance to §11.2 of ISO/IEC 17020 ............................................................................ 19 9.3 Guidance to §11.3 of ISO/IEC 17020 ............................................................................ 20 9.4 Guidance to §11.4 of ISO/IEC 17020 ............................................................................ 20

10. RECORDS .......................................................................................................................... 20 11. INSPECTION REPORTS (INVESTIGATION REPORTS) ................................................. 21

11.1 Guidance to §13.1 of ISO/IEC 17020 .......................................................................... 21 11.2 Guidance to §13.2 of ISO/IEC 17020 .......................................................................... 21 11.3 Guidance to §13.4 of ISO/IEC 17020 .......................................................................... 21

12. SUBCONTRACTING ......................................................................................................... 21 12.1 Guidance to §14.1 of ISO/IEC 17020 .......................................................................... 21 12.2 Guidance to §14.3 of ISO/IEC 17020 .......................................................................... 21

13. COMPLAINTS AND APPEALS ......................................................................................... 21 14. CO-OPERATION ............................................................................................................... 22 BIBLIOGRAPHY ...................................................................................................................... 22



INTRODUCTION This guidance document has been prepared by a joint ENFSI / EA working group made up of practitioners in the fields of forensic science, crime scene investigators and accreditation. In preparing this guidance document, input was sought from experts throughout Europe and additionally the working group has made reference to existing documents already in use in Europe. This guidance document was written on the initiative of the European Network of Forensic Science Institutes, ENFSI, which approached the European Cooperation for Accreditation, EA, for cooperation in establishing confidence and comparability in the crime scene investigation work throughout Europe. A lot of professional judgement is applied in the investigation of crime scenes , for example, when deciding on the limits of the crime scene, the investigators have to use professional judgement based not only on the observations made at the scene but also on previous experiences. This type of decision making continues throughout the process. It was therefore very natural to use ISO/IEC 17020 as the base standard for crime scene investigations. This document covers the process from the point a crime scene investigation team, however named, arrives at the scene to the point where the report from the crime scene is written. Having looked through all of the available material, the group decided to have the ‘Guidance on Assessment in the Field of Forensic Evidence Recovery’ prepared by Swiss Accreditation Service, SAS, as the basic document on which to elaborate. Acknowledgements are due to Swiss Accreditation Service for allowing EA and ENFSI to use their document as a basis for this guidance. The work of the crime scene investigation team is, among other things, to

• Assess the crime scene; • Plan and decide on the examination strategy; • Perform examinations and collect evidence using recovery procedures, such as

obtaining exhibits from places, objects, persons or animals (living or deceased), as required as part of the crime investigation process;

• Review examinations and re-analyse as necessary. Depending on the legal system of each country the crime scene may be approached differently. In some countries forensic laboratory personnel do parts of the crime scene investigation work and in others specialised crime scene investigation services also perform sampling and screening test. This guidance approaches the crime scene from the crime scene investigation service angle and is therefore based on ISO/IEC 17020. Some of the activities on the scene will create an overlap between what is covered by ISO/IEC 17020 and what is covered by ISO/IEC 17025. The drafting group is also planning to look at the overlapping aspects and provide the same guidance for both standards in the overlapping areas, for example sampling, screening tests, etc. Normative documents and guides, such as the set of international publications from ASTM International, regulate specific aspects of forensic work, and provide useful guidance on the standardised implementation of these. For a more exhaustive list of technical documents in this field, please refer to the Scenes of Crime working group on the ENFSI website. Thus far however, there is no international standard in the field of crime scene investigation covering both the general criteria for quality management and the technical requirements of the field.



The general requirements for crime scene investigations are best described based on the requirements for bodies responsible for performing inspections. For accreditation purposes, elements of the international standard ISO/IEC 17020 ‘General criteria for the operation of various types of bodies performing inspection’ can be drawn on, adapted accordingly and explained more closely in this guidance document to facilitate a systematic assessment of competency. The following chart shows some of the elements of the crime scene investigation work.

Examination Strategy

Scene Examination

Interpretation of Crime Scene

Exhibit

Interpretation

Discovery Comparison EnhancementCollection

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Exhibit

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1. SCOPE 1.1 Guidance to §1.1 of ISO/IEC 17020 The forensic process at the crime scene includes reviewing initial action at the scene of the incident, developing a scene investigation strategy for the scene, evidence recovery, interpretation of findings, decisions on further examinations and storage of exhibits. Thus, the process has various stages of action including the following

• Assess: the scene • Plan: the investigation strategy, • Do: examine scene, recover evidence, handle and store exhibits appropriately • Do: Perform appropriate examinations and tests using defined procedures,

equipment and appropriate controls. • Review: Interpret findings, decide and if necessary re-examine

The document does not necessarily always state what needs to be recorded. It is understood that all stages and aspects of the investigation need to be recorded. 1.2 Guidance to §1.2 of ISO/IEC 17020 This document can be used as guidance both by crime scene investigation services when developing a quality system and by accreditation bodies when assessing crime scene investigation services. 1.3 Guidance to §1.3 of ISO/IEC 17020 This guidance is based on the fact that the standard acknowledges the need for guidance for specific sectors. This document does not repeat the requirements of the standard ISO/IEC 17020 or the guidance given in IAF/ILAC-A4 where these are sufficient. Where interpretation or clarification is needed some further guidance is given in this document. Therefore this guidance should be read in parallel with ISO/IEC 17020 and IAF/ILAC-A4. When using these two normative documents the reader should be aware that where it says “inspector” the crime scene equivalent is “investigator” and where it says “inspection” the crime scene equivalent is “investigation” and the term “inspection body” refers to the crime scene investigation services. 1.4 Guidance to §1.4 of ISO/IEC 17020 Any screening or presumptive testing should be carried out according to documented procedures and ISO/IEC 17020 is intended to cover these procedures provided that the relevant clauses of ISO/IEC 17025 are met. However, when analytical techniques are used for analysis of exhibits then ISO/IEC 17020 should not be used and ISO/IEC 17025 should be implemented for this part of a procedure independent of whether it is done on site or in monitored laboratory conditions. For a body covering more than one aspect of the forensic process the quality system can cover all normative requirements without needing additional systems for each aspect. For example a body can have one single quality system meeting the requirements of both ISO/IEC 17020 and ISO/IEC 17025.



2. DEFINITIONS 2.1 Client The client is normally the body asking the inspection body to perform the crime scene investigation or a specific part of it. 2.2 Contamination Contamination is the undesirable introduction of substances or trace materials to exhibits. 2.3 Crime scene The term “crime scene” is used to identify a scene of incident prior to establishing whether a criminal or illegal action has taken place or not. The crime scene is not solely restricted to the location of the incident, but also includes areas where relevant acts were carried out before or after the crime. 2.4 Exhibit An exhibit is an item or sample recovered as part of an investigation. This includes everything recovered from a crime scene including swabs, whole objects, debris, etc and derived items like casts of footprints, finger mark lifts, etc. 2.5 Evidence Evidence is anything which may prove or disprove an assumption to be true, for example an exhibit or the lack of expected findings. 2.6 Forensic process Forensic process is the gathering, evaluation and assessment of all types of evidence using scientific procedures as well as the location, documentation and preservation of evidence. 2.7 Impartiality Actual and perceived presence of objectivity

Note 1 Objectivity means that conflicts of interest do not exist or are resolved so as not to adversely influence subsequent activities of the notified body.

Note 2 Other terms that are useful in conveying the element of impartiality are: objectivity, independence, freedom from conflicts of interest, freedom from bias, lack of prejudice, neutrality, fairness, open-mindedness, even-handedness, detachment, balance. 2.8 Inspection body Inspection body in this document is a Crime Scene Investigation service using professional judgement to examine (inspect) a scene with the aim to contribute to determining what happened, where it happened, when it happened, how it happened, why it happened and who was involved. 2.9 Investigator A person, however named, trained to perform crime scene examinations and/or investigations. Other names used for this function are Scene of Crime Officer (SOCO), Crime Scene investigator, Crime Scene Examiner, etc. Throughout this document, whenever the term investigator is used, it refers to the function “inspector” as used in ISO/IEC 17020.



2.10 Non-conformity Non-conformity is the non-fulfilment of a requirement either within the organisation’s policies, procedures or the specification of the client. 2.11 Quality system ISO/IEC 17020 uses the term quality system, whereas ISO/IEC 17025 uses the term management system. In this document quality system was preferred in order to reflect the text of ISO/IEC 17020. Both terms are used to refer to the documented system, however named, used for managing the technical aspects, quality, administrative procedures, etc of an organisation. 2.12 Subcontractor A subcontractor is contracted to do work for the inspection body within the subcontractor’s own legal entity and under the subcontractor’s own quality system. 2.13 Temporary personnel These are staff who are formally contracted to work within the legal entity and the quality system of the inspection body. 3. ADMINISTRATIVE REQUIREMENTS 3.1 Guide to § 3.3 of ISO/IEC 17020 The exact scope of work performed by the inspection body is continually regulated by the relevant laws, regulations and rules, and by the relevant special work order of the crime investigation authority dealing with the case. Contractual agreements are not always entered into with the clients, nor are there always detailed assignments for scene of crime investigation completed for the authorities. Description of the scope of an “inspection” (investigation) is reflected in the individual crime scene. This is also closely connected with the schedule of accreditation. Each organisation involved in the scene of crime work needs to know its own scope of competence and will need to declare it within its quality system. 3.2 Guidance to §3.4 of ISO/IEC 17020 The crime scene investigation service needs to assess the risk of the business it is doing, independent of how its insurance is covered. Such a risk assessment would have to consider the total costs, including liability law suits, of mistakes and flaws in the professional judgement of the crime scene investigation service. The activities of the crime scene investigation service are in some countries stipulated in the relevant regulations and laws. The authorities responsible for the crime scene investigation service are in these situations liable for its activities. However, the crime scene investigation service has to estimate the risks which its activities pose for the authority. The evidence for liability should be produced and bindingly recorded.



4. INDEPENDANCE, IMPARTIALITY AND INTEGRITY The type (A, B or C) of an organisation describes the degree of independence of the organisation in relation to the different stakeholders of the object (process, incident or sample) of its investigation. Under all circumstances an organisation, whether it is type A, B or C, has to retain its impartiality in relation to the stakeholders of the object of its investigation. The choice of type does not mean that the organisation is not impartial. It only means that it has different types of threat to its impartiality and has to have different safeguards in place to ensure the integrity of its impartiality. Threats to impartiality include the following. a) Self-interest threats: threats that arise from a person or body acting in their own interest. A major threat to impartiality is financial self-interest. b) Self-review threats: threats that arise from a person or body reviewing the work done by themselves. Auditing the management systems of a client to whom the person or body provided management systems consultancy would be a self-review threat. c) Familiarity (or trust) threats: threats that arise from a person or body being too familiar with or trusting of another person instead of seeking objective evidence. d) Intimidation threats: threats that arise from a person or body having a perception of being coerced openly or secretively, such as a threat to be replaced or reported to a supervisor. A CSI service, independent of the type (A, B or C) which is attributed to it, needs to analyse the threats to its impartiality and have appropriate safeguards in place to protect it. Considering the legal nature of the work of a CSI service, it is acknowledged that there will be differences in the approach to the choice of type. These differences are inherent in the individual legal framework of each country/economy. There are also different understandings of the implications of the different types. It is therefore difficult to harmonise the choice of type between different countries. It is therefore up to each country to evaluate on a case-tyo-case basis what type to allocate to a particular service and to explain to the market the implications of the choice. If a need arises to harmonise over a region or internationally, the recommendation is to refrain from allocating a type. 4.1 Guidance to §4.1 of ISO/IEC 17020 The organisation must have clear and documented policies and procedures regarding the pressures on individuals that may affect their judgement. In addition, the organisation must have a policy and procedure that shall be followed if a circumstance is discovered where there is a possibility that an individual’s judgement has been compromised. Furthermore, it is important to document the facts known and to show what the conclusions are based on when making professional judgements of crime scenes. 4.2 Guidance to §4.2.1 of ISO/IEC 17020 The categorisation of inspection bodies as Type A, B or C is essentially a question of independence. In terms of tasks and structure, crime scene investigation services are essentially inspection bodies which provide services as impartial third parties. The criteria for the independence of a Type A inspection body are as follows: a) The crime scene investigation service is an independent legal identity or is part of a

legally identifiable organisation. However, it always remains completely independent of the affected parties in specific cases or abstains or withdraws from the activities.



b) Procedures and policies on maintaining complete independence at all times (for example in relation to personnel, finances, decisions or the standard operating procedures) are defined and adhered to.

c) Individual employees responsible for conducting inspections have no direct relationship (private or professional) with the case to be dealt with, the persons involved or the evidence secured.

d) The services (inspections) of the crime scene investigation service are made available to all interested legal bodies within the scope of the legal process. The crime scene investigation service (inspection body) may not impose unreasonable conditions, financial or other, on the official client in order to control the rejection rate of jobs or gain higher revenue.

e) There is neither discrimination nor favouritism of individual official clients or private clients within the scope of the law. This applies to the task acceptance process, the implementation and the selection of the procedure which the crime scene investigation service is to follow.

Normally a crime scene investigation service (inspection body) would meet the requirements of Type A. However, due to the nature of the scene of crime investigation it is not always clear before the investigation has been finished and the case resolved, whether the persons involved in the crime do actually have connections, for example relatives to the personnel, employees of the inspection body, etc., with the investigating inspection body and its personnel. The inspection body would therefore need to have policies and procedures for dealing with such situations and have measures to ensure that its impartiality can be defended if challenged. If the inspection body does not meet all of the requirements of Type A then it would be a Type C inspection body and would need to meet all of the requirements for Type C. A type C inspection body needs to provide safeguards within the organization to ensure adequate segregation of responsibilities and accountabilities in the provision of its services. (see also Guidance to ISO/IEC 17020 4.2.3) 4.3 Guidance to §4.2.2 of ISO/IEC 17020 If an inspection body has as its sole business area, investigations of crimes performed within its own organisation, then this body would need to meet the requirements of Type B. 4.4 Guidance to §4.2.3 of ISO/IEC 17020 The inspection body is categorised as Type C inspection body when the incident is suspected to have involvement from within the inspection body itself or any persons/body directly connected to it. Type C criteria which need to be fulfilled are listed below. a) The crime scene investigation service need not be a separate part of the authority (e.g.

the police) but shall be identifiable within the organisation. b) The services are generally provided for official clients from within the legal process

(e.g. different authorities). Legal requirements and limitations define the procedure used.

c) In exceptional circumstances, private contracts, for example with insurance companies, can be entered into in accordance with the legal requirements and limitations.

d) The quality system also defines the procedure in the event that a body or employee within the parent organisation of the crime scene investigation service is or could be involved in the case being inspected.



e) Instructions exist for the event that, subject to criminal or civil law, a crime scene investigation service employee is involved in the case being inspected. In addition, instructions exist for the event that contracts are entered into with private organisations (e.g. insurance companies).

Crime scene investigation service employees may not (for any of the three types of inspection bodies outlined above and in accordance with standard ISO/IEC 17020) be exposed to any commercial, financial or personal influences which could prejudice their final judgment. Also, neither the persons being inspected nor the internal bodies may be advantaged or disadvantaged by the relevant case being dealt with by their own crime scene investigation service. If a responsible body expresses legitimate doubt as to the independence and impartiality of the scene of crime investigation, the superior authorities should give the task to a different CSI service. If the results of the investigation are in doubt, then the results should be passed on to the eligible authority. Neither the organisation expressing doubts nor the organisation which has performed the investigation should be involved in this process.

5. QUALITY SYSTEM 5.1 Guidance to §7.6 (a) of ISO/IEC 17020 Current versions of all the appropriate documentation shall be available at all relevant locations and to all relevant staff. This will guarantee that all staff performing the same functions, at the same time, are doing so in precisely the same manner and following the same version of the protocol. Standard Operating Procedures, Quality Manuals and Reference Manuals can be held in different media e.g. paper, electronic. Manuals and SOP’s do not necessarily have to be on paper. 5.2 Guidance to §7.6 (b) of ISO/IEC 17020 When choosing a system, one must consider the feasibility of controlling documents and the ease of ensuring that the same version of the Standard Operating Procedure, Reference Manual and Quality Manual is available at any one time. 5.3 Guidance to §7.6 (c) of ISO/IEC 17020 There is a need to meet the requirements of the relevant legal system concerning the statute of limitations and this will affect how long superseded documents must be retained. Only one copy, paper or electronic, of superseded documents need be retained for the determined period. 5.4 Guidance to §7.6(d) of ISO/IEC 17020 Only significant changes to documents need to be communicated to other parties. Examples of other parties as referred to in the standard could be:

- the client when it concerns the investigation results; - the laboratory doing analyses when it concerns handling of exhibits, etc; - subcontractors when it concerns changes in instructions, etc.



5.5 Guidance to §7.7 of ISO/IEC 17020 The crime scene investigation service should systematically plan and conduct internal audits at regular intervals, to compare the quality system with the criteria of standard ISO/IEC 17020 and test the effectiveness of the set written procedures when put into practice. The result of the internal audit should be presented for those involved and corrective action should be jointly agreed upon, which, once implemented, should be examined for its effectiveness. The number and scope of internal audits with regard to ‘accompanied scene of crime investigation procedures’ should be planned so that a random selection collected throughout the year, can be used to create a clearer image of all the system elements and processes of the quality system. The different audit points should be critically assessed. This should enable ongoing learning within the organisation, with defects being systematically revealed and addressed. An objective analysis of the results and the critical faculties of employees is a prerequisite. The persons performing internal audit should be independent of the activities which they are auditing. An internal audit should typically cover at least

- the quality system - the implementation of the quality system - the records of individual files, and - witnessing on site.

For those who need more guidance on auditing, ISO 19011:2002 is recommended. 5.6 Guidance to §7.8 of ISO/IEC 17020 The policy and procedures for feedback and corrective action shall ensure that:

1. the responsibilities and authorities for the management of nonconforming work are designated and actions (including halting of work and withholding of scene of crime reports, as necessary) are defined and taken when nonconforming work is identified;

2. an evaluation of the significance of the nonconforming work is made; 3. correction is taken immediately, together with any decision about the acceptability of

the nonconforming work; 4. where necessary, the client is notified and work is recalled; 5. the responsibility for authorizing the resumption of work is defined.

Where the evaluation indicates that the nonconforming work could recur or that there is doubt about the compliance of the crime scene investigation service operations with its own policies and procedures, the following corrective action procedures should be followed. The crime scene investigation service should establish policies and procedures and if necessary designate appropriate persons for implementing corrective action when nonconforming work has been identified. A problem with the qualitysystem or with the technical operations of the crime scene investigation service may be identified through a variety of activities, such as control of nonconforming work, internal or external audits, management reviews, feedback from clients and from observations made by investigators. It is recommended that the procedure for corrective action starts with an investigation to determine the root cause of the problem.[2] Cause analysis is the key and sometimes the most difficult part in the corrective action procedure. Often the root cause is not obvious and thus a careful analysis of all potential causes of the problem is required. Potential causes could include client requirements, the exhibits, exhibit specifications, methods and procedures, staff skills and training, consumables, or equipment and its calibration and maintenance. [2]



5.7 Guidance to §7.9 of ISO/IEC 17020 A comprehensive annual assessment (‘review’) of the quality system of the crime scene investigation service is normally conducted by the management to allow for conclusive statements about the continuous suitability and effectiveness of the processes implemented. The assessment should, as a minimum, consider the following aspects[2]: a) Reports from supervisory or managerial staff (departmental or group managers) about

work carried out, technical focus, accomplishments and areas with room for improvement

b) Suitability of binding regulations and the procedures implemented as well as the conclusions and results drawn from these

c) Results of internal audits and ‘accompanied scene of crime investigation procedures’ d) Grievances and complaints of the client (corrective and preventative actions) or reports

issued for current or closed legal proceedings e) Feedback from clients f) Identified modifications required for the quality system g) Assessments by external bodies (Examples of external bodies could be accreditation bodies, national auditors from the state, etc.) h) Statements about the implementation and appropriateness of personnel and technical

resources i) Future plans and estimations of the expenditure for new fields of activity (where relevant) j) Statements about the necessity of ongoing training and professional development and

information about the activities carried out. 6. PERSONNEL 6.1 Guidance to §8.1 of ISO/IEC 17020 Contracts with temporary personnel should address confidentiality agreements as with permanent employees. The contracts must ensure continuity, availability and conduct of temporary personnel at crime scene investigations. 6.2 Guidance to §8.2 of ISO/IEC 17020 The quality system should define each role in crime scene investigation with specific requirements for qualifications, training, experience and knowledge for the tasks they carry out. The competence of temporary personnel used is the responsibility of the crime scene investigation service. This can be done by employing staff from an organisation accredited in the required field although their competence must still be verified by the inspection body. Each member of staff shall be aware of their role and limitation. This information shall be given in writing to avoid misunderstanding. ‘Relevant knowledge of the technology’ refers to an understanding of the technology behind the crime (e.g. firearms) and the technology used to investigate the crime (e.g. fingerprints, DNA, blood pattern analysis). Understanding the ‘significance of deviations’ requires that crime scene investigation personnel recognise the significance of the unusual at a crime scene, for example a staged burglary.



6.3 Guidance to §8.3 of ISO/IEC 17020 There shall be an up-to-date documented training programme in place that includes competence assessment with defined criteria to declare someone as competent (e.g. ENFSI- QCC Competence assurance for ENFSI practitioners involved in the forensic process – An overview). The term ‘competent’ is defined as having the requisite knowledge, skills and ability to perform the task. Having qualifications, training and experience does not guarantee practical competence in crime scene investigation or sound professional judgement. Therefore, management or responsible persons shall be able to demonstrate that the personnel are competent by carrying out assessments of their knowledge and skills against defined criteria. The training shall follow a defined programme and the assessment of competence shall be consistently applied to all. Assessment needs to take place at every level of professional development for the persons involved. Acceptance criteria shall be assigned to the relevant roles to determine competence. Where necessary, training programmes should include expert witness testimony. An induction procedure should be included for new employees and will document the settling in period, training and the supervision required. This programme may vary depending on the ability, qualifications and experience of those being trained. The induction process for investigators would primarily be based around their expertise, specialist knowledge and their experiences. As an example of how this can be done in the crime scene investigation service, all appointed investigators could: a) Visit all areas of the crime scene investigation service which are relevant to them

during their induction period and receive a more detailed explanation of the quality system.

b) Work under the supervision of an experienced investigator until deemed competent. c) Receive ongoing training and professional development in relation to the progressive

development of science and technology within the scope of their own specialist area. Steps a) to c) would be planned and documented for all investigators and the knowledge they gain and developments they make would be discussed with them. The crime scene investigation service’s policy shall also include procedures for retraining and maintenance of skills and expertise including updates with the latest developments in the area of crime scene investigation. Competent external training bodies may be used to train staff. 6.4 Guidance to §8.4 of ISO/IEC 17020 All members of staff, whose work influences the result of the crime scene investigation, shall have an up-to-date record of training, development and competence evaluation. Maintenance of competence records will be documented and should be sufficiently detailed to provide evidence that staff have been properly trained and that their ability to perform their tasks has been formally assessed. 6.5 Guidance to §8.5 of ISO/IEC 17020 A Code of Conduct for Crime Scene Investigations should be introduced that includes work ethics, confidentiality, impartiality, personal safety, relationship with other members of the crime scene investigation team and any other issues needed to ensure appropriate conduct of crime scene investigation staff.



6.6 Guidance to §8.6 of ISO/IEC 17020 The term “remuneration” refers to salaries and all other benefits, for example car, pension plan, insurance, etc. 7. FACILITIES AND EQUIPEMENT 7.1 Guidance to §9.1 of ISO/IEC 17020 The term “facilities” refers to the means by which the integrity of the exhibits and the equipment used can be protected during the investigation, for example tents, storage area, mobile office, mobile laboratory, etc. The term “equipment” refers to all tools and instruments used for the investigation of the scene of crime that need to be monitored and controlled in order to protect the integrity of the scene and the items. Equipment includes reagents and other reference materials. The crime scene investigation service need not be the owner of the facilities or equipment that it uses. Facilities and equipment may be borrowed, rented, hired, leased or provided by another party (e.g. the installer of the equipment). The responsibility for the suitability and the calibration status of the equipment used in investigations, whether owned by the crime scene investigation service or not, lies solely with the crime scene investigation service. Some examples of facilities and equipment may be the following: a) ‘Imaging’ recording and communication resources b) Means of securing incident location in all possible environmental conditions, and

description thereof (time of day and year, meteorological conditions etc.) c) Means of protecting investigators d) Resources for professional exhibit taking for specialised examinations in test

laboratories e) Facilities which allow (simple) functional and analytical tests at the incident location

(e.g. measuring equipment) The crime scene investigation service should monitor and record the environmental conditions with calibrated equipment, if applicable and note if conditions are outside the limits within which investigation can be performed. 7.2 Guidance to §9.2 of ISO/IEC 17020 The term “rules” refers to the fact that the crime scene investigation service needs to have written policies and procedures defining the conditions under which equipment and facilities can be used and the persons allowed to use them. The crime scene investigation service needs to have policies for the use of disposable equipment to ensure that such equipment does not contribute to contamination through misuse or re-use. The term “access” refers to the permission to use specific facilities and equipment. It also refers to prohibiting unauthorised persons, e.g. third parties, to use equipment or enter scene of crime. Use of facilities and equipment by unauthorised persons should not be permitted. If any item is found to have left the crime scene investigation service’s direct control, measures must be taken to confirm its continuing suitability before its return to use. Typical measures would include visual inspection, functional checks and/or re-calibration.



7.3 Guidance to §9.3 of ISO/IEC 17020 In this context equipment also includes reagents, for example luminol, hemastix, phosphatesmo, leuco crystal violet, etc. Another example is digital cameras checked for suitability with a test chart to show correct colour response and resolution, 7.4 Guidance to §9.4 of ISO/IEC 17020 All equipment which influence the quality of the investigation results need to be either labelled or in other ways identified. 7.5 Guidance to §9.5 of ISO/IEC 17020 Maintenance applies to all equipment which influences the quality of the investigation results. Maintenance also includes checking the function of equipment to make sure it works properly. 7.6 Guidance to §9.6 of ISO/IEC 17020 All equipment used for measurements and tests, where the results of such measurements and tests have a significant influence on the results and interpretation of the scene of crime investigation shall be traceably calibrated. Where equipment not under the direct control of the crime scene investigation service is used, the crime scene investigation service shall verify that the equipment meets all relevant requirements of ISO/IEC 17020 before using it for investigations. The verification procedure shall be documented and verification records shall be kept. 7.7 Guidance to §9.7 of ISO/IEC 17020 Some examples of equipment which needs calibration are the following:

- Thermometers - sound meter, - 3D laser scanner, - calliper, - gas detector, - photoionization detector - GPS for site identification/logging, - Laser telemeter, rulers, micrometers and measurement devices for

recording distances and dimensions, - data-loggers used for recording weather information (for palynology and

entomology). 7.8 Guidance to §9.10 of ISO/IEC 17020 Reference materials in terms of scene of crime investigation refer to quality control materials that are known and traceable to their source and are used for checking the correct functioning of equipment and reagents. 7.9 Guidance to §9.13 of ISO/IEC 17020 What is computerised or automated equipment may not always be obvious. One example is equipment used for digital imaging. 7.10 Guidance to §9.14 of ISO/IEC 17020 The requirements on defective equipment also apply to reagents. These requirements are relevant only when the equipment and reagents could influence the outcome of the investigation.



7.11 Guidance to §9.15 of ISO/IEC 17020 Records shall be maintained of each item of equipment and its software significant to the investigations performed. See also guidance to 9.4, 9.5 and 9.6. The records should include at least the following [2]s: a) the identity of the item of equipment and its software; b) the manufacturer's name, type identification, and serial number or other unique

identification; c) checks that equipment complies with the specification; d) the current location, where appropriate; e) the manufacturer's instructions, if available, or reference to their location; f) dates, results and copies of reports and certificates of all calibrations, adjustments,

acceptance criteria, g) and the due date of next calibration; h) the maintenance plan, where appropriate, and maintenance carried out to date; i) any damage, malfunction, modification or repair to the equipment. 8. INSPECTION METHODS AND PROCEDURES 8.1 Guidance to §10.1 of ISO/IEC 17020 Employees should conduct investigations in accordance with the processes and procedures stipulated in the quality system. The processes may be based on nationally and internationally accepted procedures for work. In some cases, in-house procedures may be used. In certain circumstances, the client provides additional or background information, which should be considered or explicitly examined at the time of the investigation. If such additional or background information is used for the inspection, the crime scene investigation service should be able to introduce the necessary internal measures to verify its accuracy and integrity and should record it. 8.2 Guidance to §10.2 of ISO/IEC 17020 For a list of technical documents for sampling in the field of scene of crime investigation, please refer to for example the ENFSI website. 8.3 Guidance to §10.3 of ISO/IEC 17020 A nationally or internationally recognised method or procedure would be qualified as a standard procedure and would not need to be demonstrated as fit for purpose by the crime scene investigation service. Such recognition may be through national, regional or international standards institutes or through sector organisations. Modified versions of standard methods need to be demonstrated as fit for purpose and fall into the category of non-standard methods. In all cases, the crime scene investigation service would have to make sure that the standard or non-standard procedure can be appropriately used by its personnel. 8.4 Guidance to §10.5 of ISO/IEC 17020 Due to the nature of the scene of crime investigation the scope of an assignment is not always clear before the investigation has been started. The requirements of this clause should therefore be adapted to this fact.



The crime scene investigation service should have a system which ensures that upcoming assignments are reviewed promptly and either managed appropriately or, where necessary, rejected. Issues which need to be considered are the following: - The required expertise and technical knowledge of investigators. - The extent and particular conditions of the assignment in question, insofar as these are

available and understood, to enable clear instructions to be issued. - The use of suitable resources, facilities and equipment. - Ongoing monitoring of assignments and tasks. - Monitoring of completed assignments or tasks to ensure they fulfil the requirements and

have been carried out correctly. For routine or repeat work requests, review may be limited to considerations of time and human resources and an acceptable record in such cases would be a signed acceptance of the work order by an appropriately authorised person. In situations where verbal agreements are acceptable, the inspection body should keep a record of all requests and instructions received verbally, dates and the identity of the client’s representative. Records of contract review shall be retained. 8.5 Guidance to §10.8 of ISO/IEC 17020 The crime scene investigation service shall provide investigators with safe working practices including all necessary instructions regarding safety precautions.. Investigators shall adhere to the safety measures listed therein and observe the advice and the prohibited actions. In this context, they shall use the personal protective clothing with which they are provided and protect both themselves and their environment during their work at the crime scene. 9. HANDLING INSPECTION SAMPLES AND ITEMS [EXHIBIT] 9.1 Guidance to §11.1 of ISO/IEC 17020 The exhibits collected during evidence recovery processes must be clearly and uniquely identified to enable systematic evaluation. Where applicable, exhibits collected and the locations at which they were found must be documented or characterised using suitable procedures (e.g. measurements, plans, diagrams, photography, photogrammetry, etc.) so that the items can be identified at all times and the locations at which they were found can be determined. The identity for exhibits should correlate with the investigation report. Appropriate precautions are required when dealing with potentially dangerous substances and items. 9.2 Guidance to §11.2 of ISO/IEC 17020 Abnormalities and irregularities are findings and observations at the scene of crime which do not fit into the general expectation of the scene, for example theft of motor vehicle and body in the boot. Irregularity of an exhibit could be an item missing, an open exhibit or whether there is doubt as to the item suitability, for example IED1 (letter bomb).

1 IED: Improvised explosive device.



Abnormalities or irregularities at the crime scene which are shown to or immediately identified by the investigation team should be recorded and clarified before the investigation itself commences. These could influence the subsequent direction of the investigation or require an on-site procedure which differs from the standard quality system procedures. If doubts arise as to whether evidence can be properly recovered in the conditions encountered, before the investigation activities commence, the superior body or the client are consulted about whether and how the available resources should be used. Additional or ‘specialist’ investigators or technical resources for evidence recovery sometimes need to be requested. 9.3 Guidance to §11.3 of ISO/IEC 17020 Before exhibits are recovered, the investigation team should consider the conditions encountered on-site to ensure that the exhibits can be recovered and documented with as little disruption as possible. Where necessary and depending on the technical options, the exhibits are prepared for the sample taking process. “Preparation of items” in the case of crime scene investigation may refer to “decisions on the sequence in which to take samples”, or discussions with peers on the order in which to do things. 9.4 Guidance to §11.4 of ISO/IEC 17020 For legal purposes, crime scene investigation services should be able to demonstrate that the exhibits examined and reported on were those recovered at the scene of crime, in order to guarantee the integrity of the exhibit. A ‘chain of custody’ record should be maintained from the receipt of items/exhibits which details each person or body who takes possession of an item or alternatively the location of that item (e.g. if in storage). The acceptable definition and procedure for “chain of custody” needs to be adapted to the legal provisions of each country. Investigation teams should always take care to ensure that the identified exhibits taken for further examination in a special laboratory are recovered, stored and transported without contamination (from the environment, weather, people etc.). The return or disposal of preserved material must be agreed with the client and recorded in writing. In addition any transfer should also be recorded. 10. RECORDS The crime scene report documents all results of the crime scene investigation. Any additional documents regarding the investigation should be easily linked to the scene in question. Any records must be kept and archived in a systematic way in order to facilitate any subsequent review. It is necessary to have a documented procedure to find all relevant information linked to particular crime scenes or offences. The crime scene investigation service should have a common procedure for preparing technical records and notes. This procedure should differentiate between records made by hand in evidentiary documents (e.g. forms, checklists, lists, notepads etc.) and those made using technical equipment (e.g. personal computers, scanners, photographic, film and sound recording equipment etc.). The data protection regulations should be adhered at all times, regardless of the recording method used. Records may include forms, contracts, work sheets, work books, check sheets, work notes, clients' notes, papers and feedback, reports from the scene of crime investigations, reports from internal audits and management reviews as well as records of corrective and preventive actions.



11. INSPECTION REPORTS (INVESTIGATION REPORTS) 11.1 Guidance to §13.1 of ISO/IEC 17020 The type and amount of information required in the report may depend on the legal system. However, in all cases, there should be a clear indication of what are facts and what are interpretations, assumptions or opinions. It should also be noted that it is often not possible to preserve situational or ‘process-related’ trace evidence in the true sense of the word, but rather it has to be documented and/or measured using suitable recording techniques. 11.2 Guidance to §13.2 of ISO/IEC 17020 The report should contain all the results of examinations and observations, including visual evidence, as well as the findings and, where appropriate and admissible, conclusions arrived at from these results. The reports issued by the investigation team should be complete and should contain the information on which an interpretation might be made. The crime scene investigation service will have to develop its own format and list of contents for its reports based on the guidance given in Annex 3 of IAF/ILAC-A4. 11.3 Guidance to §13.4 of ISO/IEC 17020 It must not be possible for ambiguity to exist between a report or certificate with an error and the corresponding corrected report. This can be avoided by superseding the report or certificate with a new one containing words such as “this report/certificate supersedes report/certificate No. XYZ”. All documentation associated with the case must be kept and producible when required. 12. SUBCONTRACTING 12.1 Guidance to §14.1 of ISO/IEC 17020 The organisation shall be able to complete the examination of scenes of crime that it undertakes to perform. Subcontractors can be used in various circumstances such as: - a) A large incident / scene such as a terrorist attack, plane crash, multiple murder. b) The scene requires specific expertise that the organisation does not currently hold for example, entomology, anthropology or botany. 12.2 Guidance to §14.3 of ISO/IEC 17020 The crime scene investigation service shall provide appropriate evidence of the subcontracted body’s competence, such as accreditation certificate or records of evaluation performed by qualified personnel according to appropriate procedures. 13. COMPLAINTS AND APPEALS The documented procedures for dealing with complaints should include methods to prevent recurrence of the complaint and procedures for identifying areas where potential problems may arise in the future. Investigating a complaint should include examination of its impact on cases previously completed which may be subject to the non conformity identified, and follow- up actions if required.



When the court decision is successfully challenged and this in turn means that the scene of crime investigation results are challenged, this would have to be treated as an appeal. The challenged facts should be reviewed and necessary action taken if discrepancies are found. The results should be fed back into the management review so that decisions can be taken on preventive action for future investigations. 14. CO-OPERATION The crime scene investigation service is expected to participate in the exchange of experiences with similar organisations and in the standardisation of processes as appropriate e.g. membership of ENFSI SOC expert working group. BIBLIOGRAPHY [1]ISO/IEC 17020, General criteria for the operation of various types of bodies performing inspection [2]ISO/IEC 17025:2005, General requirements for the competence of testing and calibration laboratories [3]ILAC G19 ISO 19011 IAF/ILAC A4, Guidance on the application of ISO/IEC 17020 ENFSI – QCC Competence assurance for ENFSI practitioners involved in the forensic process – An overview www.european-accreditation.org , website of European Co-operation for Accreditation www.enfsi.eu , website of European Network of Forensic Science Institutes


http://www.european-accreditation.org/

http://www.enfsi.eu/

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