物证鉴定的能力验证

能力验证是物证鉴定质量保障体系的重要组成部分,可以非常有效的评估、监控和提高实验室物证鉴定能力和质量。本文论述了物证鉴定能力验证的主要方法、形式、类型和特点,以及在物证鉴定实验室质量管理中的具体应用,介绍了国外物证鉴定实验室参加能力验证活动的历史和现状,并提出在我国物证鉴定实验室广泛开展能力验证活动的思考。     

Results of a proposed breath alcohol proficiency test program

Although proficiency test programs have long been used in both clinical and forensic laboratories, they have not found uniform application in forensic breath alcohol programs. An initial effort to develop a proficiency test program appropriate to forensic breath alcohol analysis is described herein. A total of 11 jurisdictions participated in which 27 modern instruments were evaluated. Five wet bath simulator solutions with ethanol vapor concentrations ranging from 0.0254 to 0.2659 g/210 L were sent to participating programs, instructing them to perform n = 10 measurements on each solution using the same instrument. Four of the solutions contained ethanol only and one contained ethanol mixed with acetone. The systematic errors for all instruments ranged from -11.3% to +11.4% while the coefficient of variations ranged from zero to 6.1%. A components-of-variance analysis revealed at least 79% of the total variance as being due to the between-instrument component for all concentrations. Improving proficiency test program development should consider: (1) clear protocol instructions, (2) frequency of proficiency testing, (3) use lower concentrations for determining limits-of-detection and -quantitation, etc. Despite the lack of a biological component, proficiency test participation should enhance the credibility of forensic breath test programs.     

Ten methods for calculating the uncertainty of measurement

While forensic laboratories are coming under increasing pressure to provide meaningful estimates of measurement uncertainty, there has been little discussion of this topic in the literature. This article summarizes ten bases for estimating this parameter: (1) proficiency tests; (2) readability limits; (3) independent reference materials; (4) operational limits applied during calibration; (5) expert judgment; (6) precision control samples without (6) and with (7) contributions from extramural sources of error; (8) error budgets; (9) historical performance; and (10) ruggedness tests. Based on the assumptions underlying each approach, the forensic community will need to apply a variety of discipline-specific approaches to arrive at satisfactory estimates of measurement uncertainty.     

Measurement of Uncertainty for Aqueous Ethanol Wet‐Bath Simulator Solutions Used with Evidential Breath Testing Instruments

Aqueous ethanol wet‐bath simulator solutions are used to perform calibration adjustments, calibration checks, proficiency testing, and inspection of breath alcohol instruments. The Toxicology Bureau of the New Mexico Department of Health has conducted a study to estimate a measurement of uncertainty for the preparation and testing of these wet‐bath simulator solutions. The measurand is identified as the mass concentration of ethanol (g/100 mL) determined through dual capillary column headspace gas chromatography with flame ionization detector analysis. Three groups were used in the estimation of the aqueous ethanol wet‐bath simulator solutions uncertainty: GC calibration adjustment, GC analytical, and certified reference material. The standard uncertainties for these uncertainty sources were combined using the method of root‐sum‐squares to give u_c = 0.8598%. The combined standard uncertainty was expanded to U = 1.7% to reflect a confidence level of 95% using a coverage factor of 2. This estimation applies to all aqueous ethanol wet‐bath simulator solution concentrations produced by this laboratory.     

The Measurand Problem in Breath Alcohol Testing

Proper interpretation of forensic measurements can be critical to the administration of justice. Breath alcohol testing is commonly relied upon to measure the concentration of alcohol in breath or, indirectly, in blood. The concentration sought constitutes the “quantity intended to be measured,” referred to as the measurand. Although breath tests always probe the same physical quantity, their measurand is dictated by statute and varies between jurisdictions. Thus, identical numerical values obtained from tests in disparate jurisdictions may refer to different quantities and may not indicate the relevant statutory measurand. This can lead to misinterpretation of results, referred to as the “measurand problem.” We first illustrate the concept of the measurand. Thereafter, the measurand problem is illustrated through application of Hlastala's breath test paradigm and Gullberg's work on breath test uncertainty. It is shown that where the measurand is not properly accounted for, conclusions based upon breath test evidence are undermined.     

Implementation of a Blind Quality Control Program in a Forensic Laboratory

A blind quality control (QC) program was successfully developed and implemented in the Toxicology, Seized Drugs, Firearms, Latent Prints (Processing and Comparison), Forensic Biology, and Multimedia (Digital and Audio/Video) sections at the Houston Forensic Science Center (HFSC). The program was put into practice based on recommendations set forth in the 2009 National Academy of Sciences report and is conducted in addition to accreditation required annual proficiency tests. The blind QC program allows HFSC to test its entire quality management system and provides a real-time assessment of the laboratory’s proficiency. To ensure the blind QC cases mimicked real casework, the workflow for each forensic discipline and their evidence submission processes were assessed prior to implementation. Samples are created and submitted by the HFSC Quality Division to whom the expected answer is known. Results from 2015 to 2018 show that of the 973 blind samples submitted, 901 were completed, and only 51 were discovered by analysts as being blind QC cases. Implementation data suggests that this type of program can be employed at other forensic laboratories.     

Perceptions of blind proficiency testing among latent print examiners

In recent years, scholars have levied multiple criticisms against traditional proficiency testing procedures in forensic laboratories. Consequently, on several occasions, authorities have formally recommended that laboratories implement blind proficiency testing procedures. Implementation has been slow, but laboratory management has increasingly expressed interest in initiating blind testing in at least some forensic disciplines, with some laboratories conducting blind testing in almost all disciplines. However, little is known about how a key population perceives blind proficiency testing, i.e., forensic examiners. We surveyed active latent print examiners (N = 338) to explore perceptions of blind proficiency testing and determine whether beliefs varied between examiners who work for laboratories with and without blind proficiency testing. Results suggest that examiners do not hold particularly strong beliefs about such procedures, but that examiners who work in laboratories with blind proficiency testing procedures view them significantly more positively than those who do not. Further, examiner responses provide insight into potential obstacles to continued implementation.     

法医毒物鉴定的发展及其问题分析

文章阐述了法医毒物鉴定在对象种类、适用检材、技术方法、应用领域和结果运用方面的发展趋势,分析了现阶段我国毒物鉴定实验室在规范建设、鉴定能力、技术系统和质量控制中存在的问题和缺陷,提出要通过加强鉴定机构及鉴定人的准入控制,建设一支高资质、高水平的队伍;通过执业监管、认证认可、水平测试和质量评估,保障毒物鉴定结果的可靠、准确.     

Forensic Analysis of Explosives Using Isotope Ratio Mass Spectrometry (IRMS)—Part 1: Instrument Validation of the DELTAplusXP IRMS for Bulk Nitrogen Isotope Ratio Measurements

Abstract: A significant amount of research has been conducted into the use of stable isotopes to assist in determining the origin of various materials. The research conducted in the forensic field shows the potential of isotope ratio mass spectrometry (IRMS) to provide a level of discrimination not achievable utilizing traditional forensic techniques. Despite the research there have been few, if any, publications addressing the validation and measurement uncertainty of the technique for forensic applications. This study, the first in a planned series, presents validation data for the measurement of bulk nitrogen isotope ratios in ammonium nitrate (AN) using the DELTA^plusXP (Thermo Finnigan) IRMS instrument equipped with a ConFlo III interface and FlashEA? 1112 elemental analyzer (EA). Appropriate laboratory standards, analytical methods and correction calculations were developed and evaluated. A validation protocol was developed in line with the guidelines provided by the National Association of Testing Authorities, Australia (NATA). Performance characteristics including: accuracy, precision/repeatability, reproducibility/ruggedness, robustness, linear range, and measurement uncertainty were evaluated for the measurement of nitrogen isotope ratios in AN. AN (99.5%) and ammonium thiocyanate (99.99+%) were determined to be the most suitable laboratory standards and were calibrated against international standards (certified reference materials). All performance characteristics were within an acceptable range when potential uncertainties, including the manufacturer’s uncertainty of the technique and standards, were taken into account. The experiments described in this article could be used as a model for validation of other instruments for similar purposes. Later studies in this series will address the more general issue of demonstrating that the IRMS technique is scientifically sound and fit‐for‐purpose in the forensic explosives analysis field.     

Forensic appraisal of death due to acute alcohol poisoning: three case reports and a literature review

Death due to acute alcohol poisoning lacks specific anatomical characteristics, compared with other deaths due to drug poisoning. We report three forensic cases of death from acute alcohol poisoning due to inhibition of the respiratory centre and eventual asphyxia. Blood alcohol concentrations in the three fatalities were 5.28, 3.33 and 3.78 mg/mL, respectively. Lethal doses and blood alcohol concentrations showed differences between individuals. Detailed auxiliary tests besides autopsy were undertaken. These cases show that forensic scientists should exclude other causes of death, combine the autopsy with auxiliary tests, and then make an appraisal.     

The feasibility of external blind DNA proficiency testing. II. Experience with actual blind tests

The background and goals of a national study to determine the feasibility of blind proficiency testing in U.S. forensic DNA laboratories are discussed. Part of the project involved designing and executing a series of fifteen blind proficiency tests. Execution included biological specimen donor recruitment and case evidence manufacturing. Simulated cases were submitted to DNA laboratories by law enforcement agencies and in some cases by other forensic-science laboratories. Replicate-manufactured evidence was submitted to reference laboratories to simulate the workings of a larger-scale program. Ten tests were straightforward, and essentially tested analytical ability. Five tests involved selecting on the basis of case facts appropriate bloodstains for typing from a bloodstain pattern. We describe in detail our experience in designing and conducting these blind proficiency test trials, and relate those experiences to the overall issue of blind proficiency testing as a quality-assurance tool in forensic DNA laboratories. In this feasibility test series, one blind test was detected by a laboratory, a second one was shown to the lab by law enforcement, and a third was never completed because of lapses in communication. Turnaround times were relatively fast in the independent/commercial labs and relatively slow in the larger public laboratories. Two cross-state case-to-case CODIS "hits" were "planted" among the first series of ten blind tests. One pair was detected. One member of the second pair went to a lab that was not CODIS-ready.     

Measurement Uncertainty When Estimating the Velocity of an Allegedly Speeding Vehicle from Images

Abstract: Sometimes the question arises whether it is possible to estimate the velocity of a speeding car recorded by closed circuit television cameras. By estimating the travelled distance of the car between two images and the time elapsed, estimation of the velocity is rather straightforward. However, to quantify the corresponding measurement uncertainty, the data analysis becomes more involved. The article describes two approaches as to how to derive the measurement uncertainty. In the first method, distance and timing are estimated separately, and the two uncertainties are combined to derive the measurement uncertainty for the velocity. For this, a frequentist and a Bayesian approach are described. In the second method, the measurement uncertainty for the speed is derived directly using validation recordings of a car driving by at known speed. The choice which method to use depends mainly on the length of the path that the car has travelled.     

Stereochemical Analysis of Methorphan Using (−)‐Menthyl Chloroformate

Abstract: Forensic laboratories around the world have seen an increase in the number of drug seizures containing methorphan. Levomethorphan is a narcotic and a controlled substance, and its enantiomer dextromethorphan is an antitussive agent used in over‐the‐counter medications. For the forensic analysis of seized drugs containing methorphan, it is important to report the stereochemical composition of the drug. Ideally, a method based on common forensic laboratory instrumentation is desirable. The use of the chiral derivatizing agent (?)‐menthyl chloroformate followed by routine gas chromatography–mass spectrometry analysis of the derivative was shown to successfully determine the stereochemical composition of methorphan. This approach was applied to a street seizure containing methorphan proving that it was pure dextromethorphan. The derivatives of dextro‐ and levomethorphan were subjected to mass spectroscopic and nuclear magnetic resonance analysis, which confirmed that the structure of the derivatives remained unchanged as a result of the derivatization process.     

Development and Implementation of an Effective Blind Proficiency Testing Program

Blind proficiency testing is ideal for testing crime laboratory personnel because the elements of analyst bias and anticipation are removed. However, sending proficiency tests through the laboratory system as real casework is difficult. The substantial challenges with preparing and administering blind tests may prevent laboratory managers from initiating blind testing. In 2015, the Harris County Institute of Forensic Sciences committed to improving its crime laboratory’s proficiency testing program by adding blind tests. The goal was to test the whole system, from evidence receipt to report release. With careful planning, trial-and-error, and ongoing assessment of available resources, not only was the program proven to be feasible, but there was also clear understanding of how to optimize our program. In this article, we share our experiences, lessons learned, and program details to assist other forensic service providers with developing their own blind testing programs, which would ultimately lead to improved quality assurance.     

Latent Print Proficiency Testing: An Examination of Test Respondents,Test-Taking Procedures,and Test Characteristics

Proficiency testing is a key component of quality assurance programs within crime laboratories and can help improve laboratory practices. However, current proficiency testing procedures contain significant limitations and can be misinterpreted by examiners and court personnel (Garrett & Mitchell, 2018). To evaluate some of these limitations, we surveyed latent print examiners (n = 198) after they completed a Collaborative Testing Services, Inc. proficiency test. Additionally, we evaluated test performance and used a quality metric algorithm to evaluate the quality of test prints. Results do not suggest that respondents are dissimilar to the broader examiner population, although they may engage in different behaviors when completing tests versus casework. Findings show that proficiency testing contains prints of high quality and is perceived as both relatively easy and representative of casework. The test discriminated between inexperienced and experienced respondents, and verification procedures were largely ineffective in reducing errors. Objective quality metrics may provide a path forward to improving proficiency testing in a measurable manner.     

The feasibility of external blind DNA proficiency testing. I. Background and findings

We describe the origins, purposes, and findings of a national study to determine whether a large-scale program of blind proficiency testing in U.S. DNA laboratories is feasible and/or practical. Proficiency testing in clinical laboratories is reviewed, particularly as mandated by the Clinical Laboratory Improvement Acts and its role in the regulation of those laboratories. Proficiency testing in forensic urine drug testing labs is also briefly reviewed. Studies involving comparisons between open and blind proficiency testing are discussed. The clinical laboratory proficiency testing and regulation landscape provides the background for the DNA Act of 1994, and the congressional mandate to investigate blind proficiency testing in forensic DNA laboratories. Four models of blind proficiency testing are defined and discussed, along with the advantages and disadvantages of each and estimates of the costs of a large-scale program. The purposes of proficiency testing in a quality-assurance context are likewise discussed and related to the models and the arguments generally proffered for and against blind vs. open proficiency testing.     

Estimating Crime Laboratory Efficiency in the Testing of Sexual Assault Kits,

Over the past decade, the large numbers of untested sexual assault kits (SAKs) have been highlighted as a systematic problem that jeopardizes or delays justice for victims. Considering the benefits of testing SAKs, researchers have worked to shed light on why sexual assault evidence has not been effectively submitted to and processed by crime laboratories. Missing from this discourse has been an understanding of the types of practices or qualities that encourage efficiency in the testing of SAKs in crime laboratories. We analyzed results of a national survey administered to all publicly funded state and local crime laboratories (N = 132 respondents) to provide critical information about (i) the extent to which laboratories are testing all of the SAKs possible given the resources they have available; and (ii) the impact that staffing, equipment, policies, and other practices have on SAK testing efficiency. We find that the average laboratory tests only about 69% of the SAKs possible given the resources available to them. However, although technical inefficiencies explain a large proportion of the number of untested SAKs, the accumulation of untested SAKs must also be attributed to laboratories having insufficient resources (e.g., too few forensic analysts). Moreover, results from stochastic frontier models show that doubling the number of forensic analysts in the typical laboratory would allow them to expand their SAK testing capacity by nearly 50%. Implications of these findings are discussed as they relate to the prioritization of resources for crime laboratories, which often operate under strict budgetary realities.     

GSR2005—Continuity of the ENFSI Proficiency Test on Identification of GSR by SEM/EDX

Abstract:  Within the framework of the ENFSI Expert Working Group "Firearms" a proficiency test on the detection and identification of GSR by energy-dispersive scanning electron microanalysis (SEM/EDX) is carried out in a 2 years term. The latest test was performed in 2005/2006 and was denoted as GSR2005 . Seventy-five laboratories from 28 countries participated in this proficiency test and submitted in total 83 independent data-sets. The participating laboratories were requested to determine the total number of PbSbBa containing particles on a synthetic test sample following their own laboratory specific methods of automated GSR particle search and detection by SEM/EDX. Furthermore size and position of the detected particles had to be reported by the laboratories and were evaluated statistically. The results were compiled by means of z -scores according to the IUPAC and EURACHEM guidelines—assessing individual laboratory achievements (inter-laboratory) as well as intra-laboratory performance—and were compared to the results of the previous proficiency test run GSR2003 ( 1 ). The comparison shows that there is a noticeable improvement in the method's detection capability.     

Lessons learned from inter-laboratory studies of carbon isotope analysis of honey

Forensic application of carbon isotope ratio measurements of honey and honey protein to investigate the degree of adulteration with high fructose corn syrup or other C₄ plant sugars is well established. These measurements must use methods that exhibit suitable performance criteria, particularly with regard to measurement uncertainty and traceability – low levels of adulteration can only be detected by methods that result in suitably small measurement uncertainties such that differences of 1‰ or less can be reliably detected. Inter-laboratory exercises are invaluable to assess the state-of-the art of measurement capabilities of laboratories necessary to achieve such performance criteria. National and designated metrology institutes from a number of countries recently participated in an inter-laboratory assessment (CCQM-K140) of stable carbon isotope ratio determination of bulk honey. The same sample material was distributed to a number of forensic isotope analysis laboratories that could not participate directly in the metrological comparison. The results from these studies have demonstrated that the majority of participants provided isotope delta values with acceptable performance metrics; that all participants ensured traceability of their results; and that where measurement uncertainties were reported; these were fit-for-purpose. A number of the forensic laboratories only reported precision rather than full estimates of measurement uncertainty and this was the major cause of the few instances of questionable performance metrics. Reporting of standard deviations in place of measurement uncertainties is common practice outside metrology institutes and the implications for interpretations of small differences in isotopic compositions are discussed. The results have also highlighted a number of considerations that are useful for organisers of similar inter-laboratory studies in the future.