Organization of Scientific Area Committees (OSAC) Developing Standards & Guidelines for the Practice of Forensic Science

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Organization of Scientific Area Committees

(OSAC)

Developing Standards & Guidelines for the

Practice of Forensic Science

Mark D. Stolorow

Director for OSAC Affairs

National Institute of Standards & Technology

F

ORENSIC

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XPERT

W

ITNESS

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SSOCIATION San Diego, California

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Agenda

• Origins of OSAC

• OSAC Objective & Launch

• OSAC Priorities & Public Comment Opportunity • Standards Development Process: Elements

• OSAC Moving Forward and Common Questions

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2009 NAS Report

“The forensic science

disciplines . . . [t]oo often have

inadequate educational

programs, and they typically

lack mandatory and

enforceable standards,

founded on rigorous research

and testing, certification

requirements, and

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Forensic Science Realignment

• NAS report – Feb 2009

• White House Subcommittee on Forensic Science (SoFS) – July 2009 to Dec 2012

• DOJ/NIST Partnership

– NCFS (National Commission on Forensic Science)

– OSAC (Organization of Scientific Area Committees)

• Pending Legislation (Senate)

– Leahy Bill (Justice)

– Rockefeller Bill (Commerce)

• FY14 New NIST Role

– administer OSAC Criminal Justice and

Forensic Science Reform Act

(Leahy Bill)

Forensic Science and Standards Act

(Rockefeller Bill) http://www.whitehouse.gov/sites/default/file s/microsites/ostp/NSTC/strengthening_the_ forensic_sciences_may_-_2014.pdf 79 pages Released May 2, 2014

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NIST – DOJ Memorandum of

Understanding

NIST-DOJ Partnership

• MOU signed March 2013 by NIST Director and Attorney General

• Formed National Commission on

Forensic Science (NCFS) and guidance groups  Organization of Scientific Area Committees (OSAC)

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2009 NAS Report

“The forensic science enterprise also is hindered by its extreme

disaggregation—marked by multiple types of practitioners with different levels of education and training and different professional cultures and standards for performance and a reliance on apprentice-type training and a guild-like structure of

disciplines, which work against the goal of a single forensic science profession.” (p.15)

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Scientific Working

Group (SWG) Topic (Forensic Discipline) Start Sponsor Website

1 _SWGDAM _DNA ₁₉₈₈ _FBI swgdam.org

2 _SWGMAT Materials (Trace) 1992 FBI swgmat.org

3 _SWGFAST Friction Ridge (Fingerprints) 1995 FBI swgfast.org

4 _SWGDRUG Controlled Substances 1997 DEA swgdrug.org

5 _SWGIT Imaging Technologies 1997 FBI OTD swgit.org

6 SWGDOC Document Examination 1997 FBI swgdoc.org

7 SWGDE Digital Evidence 1998 FBI OTD swgde.org

8 SWGGUN Firearms & Toolmarks 1998 FBI swggun.org

9 _SWGFEX Fire Debris & Explosives 1998 NIJ swgfex.org

10 _SWGSTAIN Bloodstain Pattern 2002 NIJ swgstain.org

11 _SWGTREAD Shoeprint & Tire Tread 2004 FBI swgtread.org

12 _SWGDOG Dog & Orthogonal Detector 2004 FBI swgdog.fiu.edu

13 _SWGGSR Gun Shot Residue 2007 NIJ swggsr.org

14 SWGANTH Anthropology 2008 FBI swganth.org

15 SWGTOX Toxicology 2009 NIJ swgtox.org

16 _FISWG Facial Identification 2009 FBI OTD fiswg.org

17 _SWGDVI Disaster Victim Identification 2010 FBI swgdvi.org

18 _SWGMDI Medicolegal Death Investigation 2010 NIJ/FBI swgmdi.org

19 _SWGGEO Geological Materials 2011 USACIL swggeo.org

20 SWGWILD Wildlife Forensics 2011 USFWS wildlifeforensicscience.

org/ swgwild

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2009 NAS Report

“The efforts of these groups are laudable. However, . . . it is not clear how [they] interact or the extent to which they share

requirements, standards, or

policies. Thus, there is a need for more consistent and harmonized requirements.” (p.16)

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Individual SWGs vs. Organized Effort

• • •

funded support

enforceable standards unified effort

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Organization of Scientific

Area Committees (OSAC)

Forensic discipline-specific guidance groups administered by NIST

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OSAC Objective

To create a sustainable organizational

infrastructure dedicated to identifying and

fostering the development of technically

sound, consensus-based documentary

standards and guidelines for widespread

adoption throughout the forensic science

community

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Traditional Hierarchal Organizational Chart

SAC = Scientific Area Committee Sub = Subcommittee

Facial Identification Sub

Firearms and Toolmarks Sub

Forensic Document Examination Sub Anthropology Sub

Biological Methods Sub

Digital Evidence Sub

Seized Drugs Sub

Disaster Victim Identification Sub

Friction Ridge Sub

Fire Debris and Explosives Sub

Materials (Trace) Sub

Medicolegal Death Investigation Sub

Bloodstain Pattern Analysis Sub

Toxicology Sub

Dogs and Sensors Sub

Footwear and Tire Sub

Forensic Science Standards Board (FSSB)

Wildlife Forensics Sub

Geological Materials Sub

Video/Imaging Technology and Analysis Sub

Biology/DNA SAC Quality Infrastructure Committee (QIC) Physics/Pattern Interpretation SAC Chemistry/ Instrumental Analysis SAC Digital/Multimedia SAC Crime Scene/ Death Investigation SAC

Fire and Explosion Investigation Sub Legal Resource Committee (LRC) Biological Data Interpretation and Reporting Sub Human Factors Committee (HFC)

Gunshot Residue Sub

Odontology Sub

March 17, 2015

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Understanding the OSAC Levels

• Set policy, rules, priorities for OSAC

• Manage OSAC Registry of Approved Standards and Approved Guidelines

• Provide advice across all forensic science and discipline committees

Legal Resource, Quality Infrastructure, Human Factors Committees

• Manage work within a scientific area (harmonize/leverage across related disciplines)

• Adopt and approve scientific area standards, (e.g., terminology, reporting requirements, conclusion statements)

Scientific Area Committees

• Identify and develop (with an SDO or the canvass method) standards & guidelines for discipline

Discipline Specific Subcommittees (Working Groups)

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17 Members

Total

Forensic Science Standards Board

http://www.nist.gov/forensics/osacroles.cfm#F

Oversees SAC, Subcommittee and Resource Committee Operations

AUTHORITY

MAJOR DUTIES

MEMBERSHIP

1. Approves of standards for inclusion in the OSAC Registry of Approved

Standards

2. Maintains OSAC Bylaws and Operations Manual

3. Manages the appeals process for

unresolved comment adjudication and membership matters

4. Ensures communication flow among SACs, the Forensic Science

Standards Board and the forensic science community

5. Develops and updates balance

requirements and other membership rules and processes, including the length of membership terms and possible creation of term limits

6. Liaises with Human Factors, Legal and Quality Infrastructure Committees

5 SAC Chairs 6 Professional Association Representatives 5 At large members 1 NIST Ex-Officio

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• LRC composed of up to 10 judges, lawyers, and legal experts who provide guidance about the legal ramifications of forensic standards under

development and input on presentation of forensic results to the legal system • QIC composed of up to 15 standards experts, quality systems managers,

laboratory managers, and accreditation and certification specialists who are

responsible for writing and updating the Forensic Science Code of Practice and providing impact statements for standards/guidelines

• HFC composed of up to 10 psychologists, quality systems managers, and

usability experts who provide guidance on the influence of systems design on human performance and on ways to mitigate errors in complex tasks

• Initial selection completed by NIST-DOJ leadership/membership committee

Human Factors Committee (HFC) Legal Resource Committee (LRC) Quality Infrastructure Committee (QIC)

OSAC Resource Committees: Support

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Legal Resource Committee

(LRC) Named July 16, 2014

1. Jennifer Friedman, Deputy Public Defender, Los Angeles County 2. Christine Funk, General Counsel, Department of Forensic Sciences,

Washington, D.C. (local government)

3. Lynn Robitaille Garcia, General Counsel, Texas Forensic Science

Commission (state government)

4. Ted R. Hunt, Chief Trial Attorney and DNA Cold Case Project Director,

Jackson County Prosecutor's Office, Kansas City, MO

5. David H. Kaye, Professor, Graduate Faculty, Forensic Science Program,

Pennsylvania State University

6. David A. Moran, Professor of Law, University of Michigan Law School 7. Christopher J. Plourd, Superior Court Judge, State of California

8. Henry R. Reeve, Denver District Attorney’s Office

9. Ronald S. Reinstein, Judge and Judicial Consultant, Arizona Supreme Court 10. Barry Scheck, Professor, Cardozo School of Law, Yeshiva University;

Co-Director, Innocence Project; Commissioner, NY Commission on Forensic Science; Neufeld, Scheck, & Brustin, LLC

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Scientific Area Committees (SAC)

http://www.nist.gov/forensics/osacroles.cfm#SA

Provides direction and oversight for the work performed by Subcommittees

AUTHORITY

MAJOR DUTIES

MEMBERSHIP

1. Approves standards and guidelines identified or developed by

subcommittees

2. Coordinates the development of

research and standards priorities with subcommittees

3. Recommends the creation, merger or abolishment of subcommittees

4. Provide a quarterly report to the FSSB on activities and

accomplishments

5. Serve as hub for public input on standard and guideline activities

Subcommittee chairs Researchers, measurement scientists, and practitioners

Up To 15 Members Total (# varies depending on subcommittees) 17

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• Initial selection of SACs by NIST-DOJ leadership/membership committee

• SAC meetings are open to the public and agendas made available prior to meetings

• Representatives of professional forensic science organizations appropriate to the scientific area, examples include:

• American Academy of Forensic Sciences – AAFS,

• American Society of Crime Laboratory Directors – ASCLD, • Association of Firearm and Toolmark Examiners – AFTE, • International Association for Identification – IAI,

• National Association of Medical Examiners – NAME, • Society of Forensics Toxicologists – SOFT

SAC Biology/DNA SAC Physics/Pattern Interpretation SAC Chemistry/ Instrumental Analysis SAC Digital/Multimedia SAC Crime Scene/ Death Investigation 18

SAC = Scientific Area Committee

Scientific Area Committees (SAC)

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FSSB appointed June 26, 2014 QIC, LRC, HFC – July SAC – August Subcommittees – October http://nist.gov/forensics/osac/index.cfm OSAC Functional Organization Chart

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Alaska Hawaii

OSAC Applicants

as of 12 May 2014 357 state govt 331 local govt 234 federal govt 223 private 154 academic 14 FFRDC 56 non-U.S.

Other countries (21 total; 56 individuals)

Australia (10) Bangladesh (1) Belarus (1) Bosnia (1) Brazil (1) Canada (17) China (1) France (1) Germany (2) Israel (2) Italy (1) Korea (1) Malaysia (1) Nepal (1) The Netherlands (1) New Zealand (1) Peru (1) Singapore (2) Switzerland (1) Taiwan (1) UK (8) Puerto Rico All 50 states represented 1313 total

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Alaska Hawaii

542 OSAC Members Total

as of 13 February 2015 94 Academics 147 Federal Govt 8 FFRDC 105 Local Govt 89 Private Sector 99 State Govt 49 states represented 21

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22 Academic 17% Federal Govt 27% FFRDC 2% Local Govt 19% Private Sector 17% State Govt 18%

OSAC Members Employer Classification

(as of 13 February 2015)

542 OSAC

Members

Total

FFRDC = Federally-funded

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23

OSAC Members Job Classification

542 OSAC

Members

Total

Attorney 2% Educator/ Trainer 9% _Judge 1% Other 9% Practitioner 57% Quality Assurance Manager 1% R&D Technology Partner 2% Researcher 19%

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OSAC Application Status & Affiliates

• 1813 Total Applications

– 542 OSAC Members

• 1271 Applications in Database for Affiliates

– All potential Affiliates must fill out an application

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OSAC Application: https://www.nist.gov/forensics/osac-application.cfm

• Applicant database updated on 1st _{& 15}th _each

month

• Affiliates are selected by OSAC Unit Chairs • Added to Kavi Workspace and receive email

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OSAC Build-Out Summary

• Membership – All membership positions have been appointed effective December 22, 2014*

• Infrastructure - Modified

OSAC

infrastructure to reflect addition of Digital Evidence Subcommittee • Training – Virtual training provided to FSSB, LRC,

QIC, HFC, and all five Scientific Area Committees and 24 Subcommittees

• Meetings – In-person meetings 24 Subcommittees – January 2015 – Norman OK, and 5 public SAC meetings – February 2015 – AAFS – Orlando FL

* www.nist.gov/forensics/osac.cfm for complete listing of all OSAC members

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Forensic Science Standards Board (FSSB) Organization of Scientific Area Committees (OSAC)

Ongoing (Forensic Science Quality Infrastructure)

Outputs _{Forensic Science}

Code of Practice OSAC Registry of Approved Standards OSAC Registry of Approved Guidelines Laboratories

Appropriate ISO/IEC documents

and discipline-specific approved standards and documents

Accreditors Appropriate ISO/IEC documents, e.g. 17011 Practice focused NIST Process & technical merit Technical merit

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Documentary standards and guidelines that have demonstrated:

1. Technical merit

– Detailed Scope

– Examination of fitness for purpose

– Consideration of uncertainty measurement and potential bias – Method validation, as appropriate

2. Reasonable standards development process

– Due Process – Consensus – Openness – Transparency

– Freedom from undue influence – Balance of interests

OSAC Registries of Approved Standards

and Guidelines

Registry Sources:

1. An existing standard developed using approved processes

2. Catalyzed with an existing SDOs 3. Developed by OSAC using

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OSAC Catalog of Standards and

Guidelines: 700+ References

• The catalog is intended to contain any standard, guideline, best

practice, protocol or policy created in collaboration with a body of

stakeholders that is applicable to forensic science.

• OSAC members can potentially select standards and guidelines from this listing to submit for

addition to OSAC Registries or to form a basis for new standards and guidelines to be created.

28 http://www.nist.gov/forensics/osac/standards-guidelines-catalog.cfm

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OSAC Catalog of Standards and

Guidelines

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OSAC Priority Action Plans

Posted Online for All 24 Subcommittees

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OSAC Infrastructure: Provided by NIST

• Kavi Workspace: Web-based infrastructure to manage all documents & online balloting/voting • Adobe Connect Licenses: to support virtual

meetings – enabling all entities in OSAC to conduct virtual business.

• Logistics Support: funding for in-person meetings • Future Contract: Program management support • Spin Out: Spin OSAC out of NIST in 5 years

– May initially be with funding from NIST to the outside entity.

– Must ensure good science and stability

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OSAC Events and Information

www.nist.gov/forensics/osac.cfm

>1,800 applicants

542 Members

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OSAC Update – Moving Forward

• Outreach – Continue to conduct open OSAC

forums and provided presentations with dozens of stakeholder organizations

• Functional Shift – Transition from infrastructure build-out to operations in standards and guidelines development

• OSAC Affiliates – Team up with Members on Task Groups for special projects and serve as pool for new positions and replacements

• Become an OSAC Affiliate – apply online

https://www.nist.gov/forensics/osac-application.cfm

and be appointed to a Task Group to become an OSAC Affiliate

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OSAC Vision

How OSAC activities COULD affect the courtroom in

5-10 years?

*

• Forensic Science practitioners embrace change

• OSAC Forensic Registries of Standards and Guidelines become implemented in the practice of forensic science across all forensic disciplines in addition to DNA

• Prosecutors, defense attorneys and judges begin to use the Registries of Standards and Guidelines in direct and cross examinations of expert witnesses

• Judges and Juries routinely hear witnesses testify about how their analysis met current standards and scientific validity and openly describe the limitations of the tests in general and their

interpretations in the specific case

• Significant forensic science research is finally well organized and well funded with influence from OSAC to define research priorities • Standards enforcement by accrediting bodies finally becomes the

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Stay Informed

• How can I be notified of latest OSAC

announcements or when standards are open for public comment?

– www.nist.gov/forensics

– Insert your email address

• Where are the latest publicly available OSAC materials? – OSAC Homepage: http://www.nist.gov/forensics/osac/index.cfm – OSAC Library: https://workspace.forensicosac.org/kws/public/documen ts?view=all-documents 35

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Acknowledgments

• Susan Ballou • John Butler • Richard Cavanagh • Pat Gallagher • Gordon Gillerman • Barbara Guttman • Christina Hacker • Dave Holbrook • Jennifer Huergo • Linda Joy • Willie May • Karen Reczek • Melissa Taylor • Robert Thompson • Shannan Williams • John Paul Jones www.nist.gov/forensics/osac/index.cfm

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Questions?

Mark D. Stolorow

Director for OSAC Affairs Office of Special Programs

National Institute of Standards and Technology 100 Bureau Drive, Mailstop 8102

Gaithersburg, MD 20899 301-975-2754

[email protected]

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39 Academic 17% Federal Govt 27% FFRDC 2% Local Govt 19% Private Sector 17% State Govt 18%

OSAC Members Employer Classification

542 OSAC

Members

Total

FFRDC = Federally-funded

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40

OSAC Members Job Classification

542 OSAC

Members

Total

Attorney 2% Educator/Tr ainer 9% Judge 1% Other 9% Practitioner 57% Quality Assurance Manager 1% R&D Technology Partner 2% Researcher 19%