- Email: [email protected]
A competence assessment framework for scientific support within policing in England and Wales
Science and Justice 52 (2012) 119–125
Contents lists available at SciVerse ScienceDirect
Science and Justice journal homepage: www.elsevier.com/locate/scijus
A competence assessment framework for scientific support within policing in England and Wales Charles Welsh ⁎ Skills for Justice, Centre Court, Atlas Way, Sheffield, United Kingdom
a r t i c l e
i n f o
Article history: Received 5 August 2011 Received in revised form 27 September 2011 Accepted 6 October 2011 Keywords: Competence Scientific support Police Skills Assessment Accreditation
a b s t r a c t The Association of Chief Police Officers commissioned Skills for Justice to develop a competence assessment framework to support police forces' scientific support units evidence the competence of their staff against nationally agreed standards of competence. This will also help forces on their journey towards ISO 17025 and ISO 17020 accreditation. A six point framework has been developed and published and is now being implemented across many forces. © 2011 Skills for Justice. Published by Elsevier Limited. All rights reserved.
1. Introduction
2. The Forensic Science Regulator's Code of Practice
In November 2010, the Association of Chief Police Officers in England and Wales commissioned Skills for Justice through the National Policing Improvement Agency's (NPIA) ‘Forensics 21 Project’ to develop a national competency assessment framework for scientific support (policing forensics). Skills for Justice is the sector skills council for the justice, community safety and legal services sectors including forensic science. It is an independent charity limited by guarantee. It is licensed by the four UK governments to, amongst other things, set competence standards for those working in these sectors and ensure that the skills system meets employer needs. This paper forms part of the national competency assessment framework and sets out the context of how forensic science function fits into the wider justice sector, a definition of competence, how this type of competence can be best assessed in the workplace using well established assessment methodologies.
In March 2009 a core set of forensic science standards were published for a three month consultation by the England and Wales Forensic Science Regulator (the Regulator). The feedback received was used to develop a draft set of Codes of Practice and Conduct which were posted onto this website for further consultation in July 2010. The Codes have now been revised based upon feedback received and the United Kingdom Accreditation Service has recently undertaken a ‘dry run’ of this version with several ISO 17025 accredited organisations during 2011. The ‘dry-run’ draft of the Codes states, in paragraph 5.2.10, that The provider should utilise available National Occupational Standards [NOS] produced by Skills for Justice® for determining the appropriate competence framework for technical roles. NOS state what you need to do, know and understand to be competent in the workplace.
3. The functional map of the justice sector
⁎ Tel.: + 44 114 261 1499; fax: + 44 114 261 8038. E-mail address: [email protected].
For purposes of developing NOS for the UK justice sector, Skills for Justice has broken the sector down into 13 functions as detailed in Fig. 1 below. These functions have two generic areas part A —
1355-0306/$ – see front matter © 2011 Skills for Justice. Published by Elsevier Limited. All rights reserved. doi:10.1016/j.scijus.2011.10.004
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C. Welsh / Science and Justice 52 (2012) 119–125
A. Foundations of practice
B. Protect and support individuals and communities C. Anticipate, respond to and investigate breaches of the law D. Dispense justice H. Management
E. Address offending behaviour
and
F. Restrict the liberty of individuals
Leadership
G. Address factors and difficulties which affect individuals I. Provide legal advice J. Traffic Management X. Governance of public services Y. Inspection of public services Z. Ancillary services
Fig. 1. A functional map of the UK justice sector.
Foundations of Practice which contains areas relating to equality and diversity, communication, team work, partnership work, learning and development and health and safety and also Part H covering leadership and management. The 11 other specific Justice functions, for example, Part D — Dispense Justice, contains areas relating to hearings and legal processes, court/tribunal proceedings, supporting victims and witnesses, restorative practice, mediation and reparation processes. The function most relevant to scientific support is Part C, Anticipate, respond to and investigate breaches of the law. Part C is broken down into 16 separate areas. The one that this paper focuses on is area CN — Provide forensic science services. 4. C. Anticipate, respond to and investigate breaches of the law CA Promote and maintain rights, responsibilities and diversity CB Gather, evaluate and disseminate intelligence CC Plan, manage and develop operations CD Respond to incidents and take part in operations CE Provide roads policing CF Provide an armed response CG Conduct and control covert operations CH Conduct and control surveillance operations CI Manage, maintain and conclude investigations CJ Interview victims, witnesses, suspects and offenders CK Conduct searches CL Provide anti-terrorism measures and responses CM Conduct intelligence analysis CN Provide forensic science services CO Provide e-crime measures and responses CP Profile, screen and process people, vehicles and goods at borders 5. A functional map for forensic science When developing the NOS for forensic science, Skills for Justice developed a functional map for providing forensic science services.
This functional map identifies the functions and associated principal activities undertaken by those working within forensic science. During this process to develop the NOS, Skills for Justice defined that the key purpose of forensic science is to: Support the justice system by applying scientific, technical and other specialised knowledge to support the investigation of an incident.
6. Summary map The following summary map identifies the functions and principal areas of activity undertaken in achieving this key purpose. The areas are not proposed to be of equal size/complexity, as they reflect activities undertaken by individuals of varying levels of experience, responsibility and seniority. It is also recognised that many of the functions/activities are inter-related, such that the outcomes of one will impact upon another. Each area of activity is represented by NOS, with these standards defining good practice in undertaking the activity described. The activities address those undertaken across the UK and are proposed as the full range of those undertaken by forensic science practitioners. However, it is not implied that such professionals will do all of the activities. Indeed, this is highly unlikely. Fig. 2 identifies eight first-level functions (as set out within the main circle) undertaken in achieving the key purpose. The numerical order is for convenience only, and does not imply a particular hierarchy. The second-level functions indicated in the surrounding boxes are those undertaken in achieving the relevant first-level function. t is from this functional map that all the NOS were developed. The functions on the right hand side of the map are related to the investigative process and the functions on the left are health and safety, customer service and managerial and covered by all staff in the justice sector. Table 1 below depicts these right hand functions with the related NOS. To better understand how the forensic science NOS fit into scientific support and forensic science as a whole, mapping a generic
C. Welsh / Science and Justice 52 (2012) 119–125
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Fig. 2. The functional map for providing forensic science services.
forensic process to the relevant forensic science NOS is helpful. Fig. 4 below shows how the forensic science NOS are linked to the forensic process. Seeing the forensic science NOS like this helps highlight the
fact that they are functional in nature and that they provide a very clear structure to outcomes of competent performance throughout the complete process.
Table 1 Forensic science functions and related NOS. 1
2
3
4
Provide strategic forensic direction for investigations
Provide forensic services at scenes of incidents
Conduct examinations of forensic materials
Report and present the outcomes of forensic examinations
Conduct forensic examinations
Report upon the outcomes of forensic examinations CN901 Prepare written reports regarding forensic examinations CN902 Explain findings from forensic examinations and their implications to stakeholders Present evidence in court and inquiries
Develop forensic strategy
Start the forensic investigation process for scenes of incidents CN101 Develop forensic strategy CN301 Start the forensic investigation for investigations process for scenes of incidents
Implement and review forensic strategy CN201 Implement and review forensic strategy for investigations
Obtain potential forensic evidence and intelligence at scenes of incidents CN401 Attend and control the forensic process at scenes of incidents CN402 Create a photographic record of scenes of incidents CN403 Undertake forensic examinations at scenes of incidents CN404 Package, store and transport items of potential evidence CN405 Prepare for, and participate in, an illicit drug laboratory incident or operation CN406 Provide specialist forensic support to covert operations Evaluate the forensic investigation CN601 Evaluate the forensic investigation of the scene
CN701 Prepare to carry out forensic examinations CN702 Determine the forensic examinations to be undertaken CN703 Examine forensic items Analyse and compare forensic samples
CN801 Assess and compare forensic DA101 Provide expert evidence to courts materials and hearings CN802 Compare forensic materials against those held in files and databases CN803 Undertake the technical analysis of forensic samples CN804 Assign meaningful conclusions to forensic findings CN805 Verify findings relating to comparisons of forensic samples
The forensic science NOS were published in July 2008 following the largest ever consultation for a NOS development project within the UK justice sector. Fig. 3 below shows the structure and definition of NOS.
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C. Welsh / Science and Justice 52 (2012) 119–125
7. What is competence? In order to create a meaningful Competence Assessment Framework, competence must be defined. The definition below forms the basis of the framework. Skills for Justice define competence as: The skills, knowledge and understanding required to do a role, evidenced consistently over time through performance in the workplace.
evidence, simulation and professional discussion. When assessing an individual, Skills for Justice believe that at least four of these methods should be employed. Table 2 below shows these five areas and the areas defined in the statement of competence that each method can assess. Evidence gathered upon which an assessment decision will be made must be valid, robust and reliable. Such evidence created by an accredited quality management system is highly likely to be all three. 9. Scientific support role profiles
The framework set out below compliments ISO 10015: 1999 which defines competence as the ‘application of knowledge, skills and behaviours in performance’. 8. How can competence be measured? There are five assessment methods that Skills for Justice recognise as good practice. These are observation, witness testimony, product
Unit Summary: Describes the context in which the unit is applied in the workplace. It may describe the role of the person to which the unit applies.
Over the past seven years, Skills for Justice has worked closely with police forces across England and Wales and the National Policing Improvement Agency (NPIA) Forensic Centre at Harperley Hall to develop role profile for those working within scientific support. These roles have been developed to help provide consistency across the police service in England and Wales and to properly define nationally agreed roles. These are detailed in Table 3 below.
Unit Number and Title: The unit number is the unique identifier in the suite of National Occupational Standards. The Unit Title Unit CN403: describes a discreet but complete Undertake forensic examinations at scenes of area of work that can be incidents undertaken by one individual. Summary This unit is about undertaking a forensic examination at the scene of an incident and collecting forensic evidence and intelligence. In examining the scene you will need to determine the types of examination that are necessary, use suitable examination and investigation techniques and locate and record potential evidence. You will also need to establish and maintain the continuity and integrity of items. It includes the recording of all relevant information and intelligence relating to the scene examination, evidence Element Title: collection and completion of the examination
Each unit has one or more elements. Elements describe the processes or functions that need to be done to complete the unit. To be competent an individual needs to demonstrate Element: CN403.1 Establish the requirements of the examination competence against all of the elements in the unit Performance criteria You must be able to: 1
confirm with relevant personnel the circumstances of the incident, including its nature and the known sequence of events Performance Criteria:
2
identify correctly the forensic strategy, confirming forensic investigative needs individual
3
describe the performance an must be able to do to be considered competent agree with relevant personnel the activities required, including the priorities and sequencing in their job. necessary to maximise the collection of potential evidence
4
identify correctly any circumstances requiring additional expertise and facilities, and ensure that consequent arrangements are made where necessary
5
ensure that the facilities and equipment required for the forensic examination are available and in working order, addressing any problems correctly and promptly
6
confirm clearly and accurately the types and sequence of necessary examinations, where relevant, with the appropriate personnel, providing advice where required regarding the requirements when collecting materials and recording notes
7
establish correctly the possibility of linked scenes, and arrange for the necessary consequent action
Fig. 3. NOS structure and definitions.
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Knowledge and Understanding: describes what you must know and understand to be able to Knowledge and understanding To meet the standard, you need to know and understand demonstrate competence through the performance criteria. Legal and organisational requirements Knowledge and understanding relates to the whole standard.
1
the implications of current law, policies, operating procedures and guidelines relevant to undertaking forensic examinations at scenes of incidents
2
the implications of current, relevant law, policies and procedures relating to health and safety, information and data handling, human rights and the criminal justice system
3
your levels of authority, skills and ability, and the actions necessary should these be exceeded
Forensic examinations 4
the principles and methods involved in the forensic investigative process, including the use and relevance of the scientific investigative work that needs to be undertaken
5
how to establish the details of the case, the information needed to plan the scientific investigative work, and the importance of this
6
why it is important to assess the effect of forensic investigative work upon potential evidence and on other evidence types, and how to determine the most appropriate examination methods to use
7
the operational and scientific factors to consider when planning the preservation, recovery, packaging and transportation of forensic items, and the extent and range of facilities and equipment available
8
how to define and how to establish access to the scene
9
how to sequence and prioritise the forensic investigative work
10
how to select, prepare and use the range of equipment, consumables and reagents that may be needed to preserve, recover and examine potential evidence within your area of operations, and how to address any faults with the equipment
}
Fig. 3 (continued).
Throughout this process the NOS have been refined and revised to maintain relevance and meet the changing requirements of the roles. In additional new roles, such as Footwear Officer and Footwear Specialist have been added to reflect the changing nature of scientific support as diversification into other disciplines has taken place. Development of all role profiles, like the NOS, have always taken place through close consultation with practitioners and this has enabled a framework to be developed which is usable and relevant to all. NOS provide the foundation of learning programmes and courses developed and delivered by the NPIA Forensic Centre where the majority of the policing forensic practitioners in the UK are trained. It seems logical and natural for the same framework to underpin the competence of staff throughout their careers, as they provide a standard benchmark for performance. These roles have essentially evolved over time as it became apparent that there were gaps or efficiencies e.g. since the Volume Crime Scene Investigator role being identified (as forensic vehicle examiners) in Her Majesty's Inspectorate of Constabulary's 2000 Thematic Inspection: ‘Under the Microscope' forces have increased the number
of volume crime scene examiners and this has increased the number of crime scenes examined for forensic opportunities. The Level 2 Crime Scene Investigator role was developed to create force capability to cover serious and organised crime such as kidnap and extortion cases. The Scientific Support Co-ordinator role emerged because when dealing with major incidents the original crime scene manager was getting involved rapidly in multiple scenes (e.g. body disposal site, victim's house, victim's car, suspect's house, suspects car, etc.) and providing more of a co-ordination and advisory role as a key member of the Senior Investigation Officer's team, rather than managing a single scene. These roles form the basis of the learning programmes for forensic practitioners developed by the NPIA Forensic Centre include a number of methodologies and tools which could be adapted to support ongoing competence assessments. Templates for recording observations, checking product evidence, recording learning and development, to name a few, have already been developed. Using pre-existing templates will help forces embed these processes as many are already familiar with these tools. In addition it will provide continuity and consistency for all users.
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C. Welsh / Science and Justice 52 (2012) 119–125
Fig. 4. Forensic science NOS mapped to the investigative process.
10. Who decides individual competence? The lynchpin in all work an organisation undertakes to do with practitioner competence is the person who makes the decision as to whether or not the individual in question is competent. This ‘assessor’ of competence who makes this assessment decision must also be both occupationally competent (i.e. able to do the role they are assessing) and competent to make that decision. This approach to assessing practitioner competence is very commonplace across the UK Justice sector. This is not a new concept to forensic science or the police service. The traditional ‘Reporting Scientist’ function makes these types of decision on a daily basis through activities such as case reviews, critical finding checks, etc. This assessment decision is a critical part of any quality management system and is part of the daily routine for an experienced practitioner. 11. Tools to assess competence The basis of these tests comes from Skills for Justice's experience working with the mature quality management systems of commercial UK forensic science providers and our expertise in the assessment of practitioners in the workplace. The principles of these tests and the area of competence tested has been explained. Each test discussed above tests a different part of practitioner competence as defined above. Therefore it is important that a blend of methods is used to fully assess competence. In addition testing should
be done at regular intervals to endure consistency over time rather than just annually which will only provide a snapshot of performance. The tests detailed in Table 4 above also directly link to paragraphs within the relevant ‘Personnel’ sections of both ISO/IEC 17025: 2005 (E) and ISO/IEC 17020:1998 (E). Thus adherence to the tests above will help forces achieve accreditation to these standards. This is illustrated in Table 5 below.
12. Conclusions This paper offers forensic science providers a framework upon which to base the assessment of their staff's competence against nationally recognised competence standards. Given the similarity of the European Network of Forensic Science Institutes' ‘Performance based standards for forensic science practitioners' to NOS, this could also provide a framework that is applicable across Europe. If each of the testing methods set out above are documented and valid then the organisation will be a significant way along the journey to meeting the requirements of the ‘Personnel’ sections of ISO/IEC 17025:2005 (E) and ISO/IEC 17020:1998 (E). Table 3 Roles identified within scientific support. Crime scene
Fingerprints
Footwear
Forensic laboratory
Scientific Support Co-ordinator
Fingerprint Expert
Forensic Laboratory Officer
Crime Scene Manager
Fingerprint Officer
Forensic Footwear Specialist Forensic Footwear Officer
Level 2 Crime Scene Investigator
Fingerprint Technician
Table 2 Assessment methods. Assessment
Area of competence covered
Observation Witness testimony Product evidence (evidence created by completing job role e.g. case report) Simulation Professional discussion
Skills, knowledge Skills, knowledge and understanding Skills, knowledge and understanding Skills, knowledge and understanding Knowledge and understanding
Crime Scene Investigator (CBRN) Crime Scene Investigator Volume Crime Scene Investigator
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125
Table 4 An illustrative 6 point quality management system. Type of test 1 A case review. Between line manager and practitioner to assess what was done by practitioner, decision making processes, what could have been done better, review of forensic strategy, overall outcome of items taken for analysis etc. 2 Simulated competence check. Providing the practitioner with a scenario with known outcomes and based on the relevant NOS. This can include ‘blind trials’ where known items are entered into the workflow unknown to the practitioner. 3 Observation (site visit). Line manager observes the practitioner undertake an agreed number of tasks to assess competence against agreed NOS. 4 Knowledge test. Practitioner sits a written knowledge test which is marked by competent peer or line manager to ensure practitioner had knowledge required to perform role competently. 5 Dip-sampling. A set number of ‘work products’ are sampled randomly every month to ensure consistency in competent delivery of work tasks. 6 Complete annual PDR. To ensure that staff carrying out the work in an appropriate manner, could include checks against code of practice as set by Forensic Science Regulator and a competence review.
Assessment type
Area of competence tested
Professional discussion witness testimony product evidence
Knowledge and understanding
Simulation
Knowledge, understanding and skills
Observation product evidence
Skills
Written test or computer based testing (CBT) Product evidence
Knowledge and understanding Consistency of performance over time Behavioural competence
Table 5 Links across the framework, competence tests, assessment types, area of competence assess and ISO/IEC 17025: 2005 (E) and ISO/IEC 17020:1998 (E). Framework area Type of test
Assessment type
Area of competence tested
Relevant part of ISO 17025
6 Point QMS
Professional discussion witness testimony product evidence Simulation
Knowledge and understanding
5.2.5
Knowledge, Understanding and skills Skills
5.2.1
6 Point QMS 6 Point QMS 6 Point QMS
6 Point QMS 6 Point QMS
A case review. Between line manager and practitioner to assess what was done by practitioner, decision making processes, what could have been done better, review of forensic strategy, overall outcome of items taken for analysis etc. Proficiency test. A simulated competence check providing the practitioner with a scenario with known outcomes and based on the relevant NOS. Site visit. Line manager observes the practitioner undertake an agreed number of tasks to assess competence against agreed NOS. Knowledge test. Practitioner sits a written knowledge test which is marked by competent peer or line manager to ensure practitioner had knowledge required to perform role competently. Dip-sampling. A set number of ‘work products’ are sampled randomly every month to ensure consistency in competent delivery of work tasks… Complete annual PDR. To ensure that staff carrying out the work in an appropriate manner, could include checks against code of practice as set by Forensic Science Regulator and competence review.
Observation product evidence Written test or computer Knowledge based testing (CBT)
5.2.1 5.2.5 5.2.1 5.2.5
Product evidence
5.2.1
Forensic science NOS Role profiles
Interestingly, the Forensic Science Society's Diplomas would appear to address the first four test areas — a case review, simulated competence check, observation and a knowledge test. Acknowledgements The author is grateful to the staff at the NPIA Forensic Centre for all their support, especially Keith Fryer, Sam Frost, Duncan Brown and Paula Mulroy. Paul Hunter and Phil Stokoe, also of the NPIA, provided helpful feedback. David Jarret-Knock and Roger King from Key Forensic Services Ltd have been very generous in letting us use their diagram mapping the NOS to the investigative process. Andrew Rennison, the Forensic Science Regulator, kindly funded the work. The members of the Skills for Justice Forensic Science Occupational Committee also gave constructive feedback and support for this paper for which the author is, as always, grateful.
Consistency of performance over time Behavioural competence
Relevant part of ISO 17020
8.2
5.2.5
8.4 8.5
5.2.2
8.1 8.3 8.1 8.3
5.2.4
Further Reading [1] European Network of Forensic Science Institutes, Performance Based Standards for Forensic Science Practitioners, ENFSI, The Netherlands, 2004http://www.enfsi.eu sourced on 30 August 2011. [2] Her Majesty's Inspectorate of Constabulary, Under the Microscope, HMIC, London, 2000. [3] International Organisation for Standardisation, ISO/IEC 17020: 1998 (E), ISO, Geneva, 1998. [4] International Organisation for Standardisation, ISO 10015: 1999, ISO, Geneva, 1999. [5] International Organisation for Standardisation, ISO/IEC 17025: 2005 (E), ISO, Geneva, 2005. [6] A. Rennison, Forensic Science Regulator's Draft Code of Practice, Home Office, London, 2010 http://www.homeoffice.gov.uk. [7] Skills for Justice, Forensic Science National Occupational Standards, Skills for Justice, Sheffield, 2007http://www.skillsforjustice-nosfinder.com. [8] Skills for Justice, The Functional Map of the Justice Sector, Skills for Justice, Sheffield, 2007 http://www.skillsforjustice-nosfinder.com.
Contents lists available at SciVerse ScienceDirect
Science and Justice journal homepage: www.elsevier.com/locate/scijus
A competence assessment framework for scientific support within policing in England and Wales Charles Welsh ⁎ Skills for Justice, Centre Court, Atlas Way, Sheffield, United Kingdom
a r t i c l e
i n f o
Article history: Received 5 August 2011 Received in revised form 27 September 2011 Accepted 6 October 2011 Keywords: Competence Scientific support Police Skills Assessment Accreditation
a b s t r a c t The Association of Chief Police Officers commissioned Skills for Justice to develop a competence assessment framework to support police forces' scientific support units evidence the competence of their staff against nationally agreed standards of competence. This will also help forces on their journey towards ISO 17025 and ISO 17020 accreditation. A six point framework has been developed and published and is now being implemented across many forces. © 2011 Skills for Justice. Published by Elsevier Limited. All rights reserved.
1. Introduction
2. The Forensic Science Regulator's Code of Practice
In November 2010, the Association of Chief Police Officers in England and Wales commissioned Skills for Justice through the National Policing Improvement Agency's (NPIA) ‘Forensics 21 Project’ to develop a national competency assessment framework for scientific support (policing forensics). Skills for Justice is the sector skills council for the justice, community safety and legal services sectors including forensic science. It is an independent charity limited by guarantee. It is licensed by the four UK governments to, amongst other things, set competence standards for those working in these sectors and ensure that the skills system meets employer needs. This paper forms part of the national competency assessment framework and sets out the context of how forensic science function fits into the wider justice sector, a definition of competence, how this type of competence can be best assessed in the workplace using well established assessment methodologies.
In March 2009 a core set of forensic science standards were published for a three month consultation by the England and Wales Forensic Science Regulator (the Regulator). The feedback received was used to develop a draft set of Codes of Practice and Conduct which were posted onto this website for further consultation in July 2010. The Codes have now been revised based upon feedback received and the United Kingdom Accreditation Service has recently undertaken a ‘dry run’ of this version with several ISO 17025 accredited organisations during 2011. The ‘dry-run’ draft of the Codes states, in paragraph 5.2.10, that The provider should utilise available National Occupational Standards [NOS] produced by Skills for Justice® for determining the appropriate competence framework for technical roles. NOS state what you need to do, know and understand to be competent in the workplace.
3. The functional map of the justice sector
⁎ Tel.: + 44 114 261 1499; fax: + 44 114 261 8038. E-mail address: [email protected].
For purposes of developing NOS for the UK justice sector, Skills for Justice has broken the sector down into 13 functions as detailed in Fig. 1 below. These functions have two generic areas part A —
1355-0306/$ – see front matter © 2011 Skills for Justice. Published by Elsevier Limited. All rights reserved. doi:10.1016/j.scijus.2011.10.004
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C. Welsh / Science and Justice 52 (2012) 119–125
A. Foundations of practice
B. Protect and support individuals and communities C. Anticipate, respond to and investigate breaches of the law D. Dispense justice H. Management
E. Address offending behaviour
and
F. Restrict the liberty of individuals
Leadership
G. Address factors and difficulties which affect individuals I. Provide legal advice J. Traffic Management X. Governance of public services Y. Inspection of public services Z. Ancillary services
Fig. 1. A functional map of the UK justice sector.
Foundations of Practice which contains areas relating to equality and diversity, communication, team work, partnership work, learning and development and health and safety and also Part H covering leadership and management. The 11 other specific Justice functions, for example, Part D — Dispense Justice, contains areas relating to hearings and legal processes, court/tribunal proceedings, supporting victims and witnesses, restorative practice, mediation and reparation processes. The function most relevant to scientific support is Part C, Anticipate, respond to and investigate breaches of the law. Part C is broken down into 16 separate areas. The one that this paper focuses on is area CN — Provide forensic science services. 4. C. Anticipate, respond to and investigate breaches of the law CA Promote and maintain rights, responsibilities and diversity CB Gather, evaluate and disseminate intelligence CC Plan, manage and develop operations CD Respond to incidents and take part in operations CE Provide roads policing CF Provide an armed response CG Conduct and control covert operations CH Conduct and control surveillance operations CI Manage, maintain and conclude investigations CJ Interview victims, witnesses, suspects and offenders CK Conduct searches CL Provide anti-terrorism measures and responses CM Conduct intelligence analysis CN Provide forensic science services CO Provide e-crime measures and responses CP Profile, screen and process people, vehicles and goods at borders 5. A functional map for forensic science When developing the NOS for forensic science, Skills for Justice developed a functional map for providing forensic science services.
This functional map identifies the functions and associated principal activities undertaken by those working within forensic science. During this process to develop the NOS, Skills for Justice defined that the key purpose of forensic science is to: Support the justice system by applying scientific, technical and other specialised knowledge to support the investigation of an incident.
6. Summary map The following summary map identifies the functions and principal areas of activity undertaken in achieving this key purpose. The areas are not proposed to be of equal size/complexity, as they reflect activities undertaken by individuals of varying levels of experience, responsibility and seniority. It is also recognised that many of the functions/activities are inter-related, such that the outcomes of one will impact upon another. Each area of activity is represented by NOS, with these standards defining good practice in undertaking the activity described. The activities address those undertaken across the UK and are proposed as the full range of those undertaken by forensic science practitioners. However, it is not implied that such professionals will do all of the activities. Indeed, this is highly unlikely. Fig. 2 identifies eight first-level functions (as set out within the main circle) undertaken in achieving the key purpose. The numerical order is for convenience only, and does not imply a particular hierarchy. The second-level functions indicated in the surrounding boxes are those undertaken in achieving the relevant first-level function. t is from this functional map that all the NOS were developed. The functions on the right hand side of the map are related to the investigative process and the functions on the left are health and safety, customer service and managerial and covered by all staff in the justice sector. Table 1 below depicts these right hand functions with the related NOS. To better understand how the forensic science NOS fit into scientific support and forensic science as a whole, mapping a generic
C. Welsh / Science and Justice 52 (2012) 119–125
121
Fig. 2. The functional map for providing forensic science services.
forensic process to the relevant forensic science NOS is helpful. Fig. 4 below shows how the forensic science NOS are linked to the forensic process. Seeing the forensic science NOS like this helps highlight the
fact that they are functional in nature and that they provide a very clear structure to outcomes of competent performance throughout the complete process.
Table 1 Forensic science functions and related NOS. 1
2
3
4
Provide strategic forensic direction for investigations
Provide forensic services at scenes of incidents
Conduct examinations of forensic materials
Report and present the outcomes of forensic examinations
Conduct forensic examinations
Report upon the outcomes of forensic examinations CN901 Prepare written reports regarding forensic examinations CN902 Explain findings from forensic examinations and their implications to stakeholders Present evidence in court and inquiries
Develop forensic strategy
Start the forensic investigation process for scenes of incidents CN101 Develop forensic strategy CN301 Start the forensic investigation for investigations process for scenes of incidents
Implement and review forensic strategy CN201 Implement and review forensic strategy for investigations
Obtain potential forensic evidence and intelligence at scenes of incidents CN401 Attend and control the forensic process at scenes of incidents CN402 Create a photographic record of scenes of incidents CN403 Undertake forensic examinations at scenes of incidents CN404 Package, store and transport items of potential evidence CN405 Prepare for, and participate in, an illicit drug laboratory incident or operation CN406 Provide specialist forensic support to covert operations Evaluate the forensic investigation CN601 Evaluate the forensic investigation of the scene
CN701 Prepare to carry out forensic examinations CN702 Determine the forensic examinations to be undertaken CN703 Examine forensic items Analyse and compare forensic samples
CN801 Assess and compare forensic DA101 Provide expert evidence to courts materials and hearings CN802 Compare forensic materials against those held in files and databases CN803 Undertake the technical analysis of forensic samples CN804 Assign meaningful conclusions to forensic findings CN805 Verify findings relating to comparisons of forensic samples
The forensic science NOS were published in July 2008 following the largest ever consultation for a NOS development project within the UK justice sector. Fig. 3 below shows the structure and definition of NOS.
122
C. Welsh / Science and Justice 52 (2012) 119–125
7. What is competence? In order to create a meaningful Competence Assessment Framework, competence must be defined. The definition below forms the basis of the framework. Skills for Justice define competence as: The skills, knowledge and understanding required to do a role, evidenced consistently over time through performance in the workplace.
evidence, simulation and professional discussion. When assessing an individual, Skills for Justice believe that at least four of these methods should be employed. Table 2 below shows these five areas and the areas defined in the statement of competence that each method can assess. Evidence gathered upon which an assessment decision will be made must be valid, robust and reliable. Such evidence created by an accredited quality management system is highly likely to be all three. 9. Scientific support role profiles
The framework set out below compliments ISO 10015: 1999 which defines competence as the ‘application of knowledge, skills and behaviours in performance’. 8. How can competence be measured? There are five assessment methods that Skills for Justice recognise as good practice. These are observation, witness testimony, product
Unit Summary: Describes the context in which the unit is applied in the workplace. It may describe the role of the person to which the unit applies.
Over the past seven years, Skills for Justice has worked closely with police forces across England and Wales and the National Policing Improvement Agency (NPIA) Forensic Centre at Harperley Hall to develop role profile for those working within scientific support. These roles have been developed to help provide consistency across the police service in England and Wales and to properly define nationally agreed roles. These are detailed in Table 3 below.
Unit Number and Title: The unit number is the unique identifier in the suite of National Occupational Standards. The Unit Title Unit CN403: describes a discreet but complete Undertake forensic examinations at scenes of area of work that can be incidents undertaken by one individual. Summary This unit is about undertaking a forensic examination at the scene of an incident and collecting forensic evidence and intelligence. In examining the scene you will need to determine the types of examination that are necessary, use suitable examination and investigation techniques and locate and record potential evidence. You will also need to establish and maintain the continuity and integrity of items. It includes the recording of all relevant information and intelligence relating to the scene examination, evidence Element Title: collection and completion of the examination
Each unit has one or more elements. Elements describe the processes or functions that need to be done to complete the unit. To be competent an individual needs to demonstrate Element: CN403.1 Establish the requirements of the examination competence against all of the elements in the unit Performance criteria You must be able to: 1
confirm with relevant personnel the circumstances of the incident, including its nature and the known sequence of events Performance Criteria:
2
identify correctly the forensic strategy, confirming forensic investigative needs individual
3
describe the performance an must be able to do to be considered competent agree with relevant personnel the activities required, including the priorities and sequencing in their job. necessary to maximise the collection of potential evidence
4
identify correctly any circumstances requiring additional expertise and facilities, and ensure that consequent arrangements are made where necessary
5
ensure that the facilities and equipment required for the forensic examination are available and in working order, addressing any problems correctly and promptly
6
confirm clearly and accurately the types and sequence of necessary examinations, where relevant, with the appropriate personnel, providing advice where required regarding the requirements when collecting materials and recording notes
7
establish correctly the possibility of linked scenes, and arrange for the necessary consequent action
Fig. 3. NOS structure and definitions.
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Knowledge and Understanding: describes what you must know and understand to be able to Knowledge and understanding To meet the standard, you need to know and understand demonstrate competence through the performance criteria. Legal and organisational requirements Knowledge and understanding relates to the whole standard.
1
the implications of current law, policies, operating procedures and guidelines relevant to undertaking forensic examinations at scenes of incidents
2
the implications of current, relevant law, policies and procedures relating to health and safety, information and data handling, human rights and the criminal justice system
3
your levels of authority, skills and ability, and the actions necessary should these be exceeded
Forensic examinations 4
the principles and methods involved in the forensic investigative process, including the use and relevance of the scientific investigative work that needs to be undertaken
5
how to establish the details of the case, the information needed to plan the scientific investigative work, and the importance of this
6
why it is important to assess the effect of forensic investigative work upon potential evidence and on other evidence types, and how to determine the most appropriate examination methods to use
7
the operational and scientific factors to consider when planning the preservation, recovery, packaging and transportation of forensic items, and the extent and range of facilities and equipment available
8
how to define and how to establish access to the scene
9
how to sequence and prioritise the forensic investigative work
10
how to select, prepare and use the range of equipment, consumables and reagents that may be needed to preserve, recover and examine potential evidence within your area of operations, and how to address any faults with the equipment
}
Fig. 3 (continued).
Throughout this process the NOS have been refined and revised to maintain relevance and meet the changing requirements of the roles. In additional new roles, such as Footwear Officer and Footwear Specialist have been added to reflect the changing nature of scientific support as diversification into other disciplines has taken place. Development of all role profiles, like the NOS, have always taken place through close consultation with practitioners and this has enabled a framework to be developed which is usable and relevant to all. NOS provide the foundation of learning programmes and courses developed and delivered by the NPIA Forensic Centre where the majority of the policing forensic practitioners in the UK are trained. It seems logical and natural for the same framework to underpin the competence of staff throughout their careers, as they provide a standard benchmark for performance. These roles have essentially evolved over time as it became apparent that there were gaps or efficiencies e.g. since the Volume Crime Scene Investigator role being identified (as forensic vehicle examiners) in Her Majesty's Inspectorate of Constabulary's 2000 Thematic Inspection: ‘Under the Microscope' forces have increased the number
of volume crime scene examiners and this has increased the number of crime scenes examined for forensic opportunities. The Level 2 Crime Scene Investigator role was developed to create force capability to cover serious and organised crime such as kidnap and extortion cases. The Scientific Support Co-ordinator role emerged because when dealing with major incidents the original crime scene manager was getting involved rapidly in multiple scenes (e.g. body disposal site, victim's house, victim's car, suspect's house, suspects car, etc.) and providing more of a co-ordination and advisory role as a key member of the Senior Investigation Officer's team, rather than managing a single scene. These roles form the basis of the learning programmes for forensic practitioners developed by the NPIA Forensic Centre include a number of methodologies and tools which could be adapted to support ongoing competence assessments. Templates for recording observations, checking product evidence, recording learning and development, to name a few, have already been developed. Using pre-existing templates will help forces embed these processes as many are already familiar with these tools. In addition it will provide continuity and consistency for all users.
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Fig. 4. Forensic science NOS mapped to the investigative process.
10. Who decides individual competence? The lynchpin in all work an organisation undertakes to do with practitioner competence is the person who makes the decision as to whether or not the individual in question is competent. This ‘assessor’ of competence who makes this assessment decision must also be both occupationally competent (i.e. able to do the role they are assessing) and competent to make that decision. This approach to assessing practitioner competence is very commonplace across the UK Justice sector. This is not a new concept to forensic science or the police service. The traditional ‘Reporting Scientist’ function makes these types of decision on a daily basis through activities such as case reviews, critical finding checks, etc. This assessment decision is a critical part of any quality management system and is part of the daily routine for an experienced practitioner. 11. Tools to assess competence The basis of these tests comes from Skills for Justice's experience working with the mature quality management systems of commercial UK forensic science providers and our expertise in the assessment of practitioners in the workplace. The principles of these tests and the area of competence tested has been explained. Each test discussed above tests a different part of practitioner competence as defined above. Therefore it is important that a blend of methods is used to fully assess competence. In addition testing should
be done at regular intervals to endure consistency over time rather than just annually which will only provide a snapshot of performance. The tests detailed in Table 4 above also directly link to paragraphs within the relevant ‘Personnel’ sections of both ISO/IEC 17025: 2005 (E) and ISO/IEC 17020:1998 (E). Thus adherence to the tests above will help forces achieve accreditation to these standards. This is illustrated in Table 5 below.
12. Conclusions This paper offers forensic science providers a framework upon which to base the assessment of their staff's competence against nationally recognised competence standards. Given the similarity of the European Network of Forensic Science Institutes' ‘Performance based standards for forensic science practitioners' to NOS, this could also provide a framework that is applicable across Europe. If each of the testing methods set out above are documented and valid then the organisation will be a significant way along the journey to meeting the requirements of the ‘Personnel’ sections of ISO/IEC 17025:2005 (E) and ISO/IEC 17020:1998 (E). Table 3 Roles identified within scientific support. Crime scene
Fingerprints
Footwear
Forensic laboratory
Scientific Support Co-ordinator
Fingerprint Expert
Forensic Laboratory Officer
Crime Scene Manager
Fingerprint Officer
Forensic Footwear Specialist Forensic Footwear Officer
Level 2 Crime Scene Investigator
Fingerprint Technician
Table 2 Assessment methods. Assessment
Area of competence covered
Observation Witness testimony Product evidence (evidence created by completing job role e.g. case report) Simulation Professional discussion
Skills, knowledge Skills, knowledge and understanding Skills, knowledge and understanding Skills, knowledge and understanding Knowledge and understanding
Crime Scene Investigator (CBRN) Crime Scene Investigator Volume Crime Scene Investigator
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Table 4 An illustrative 6 point quality management system. Type of test 1 A case review. Between line manager and practitioner to assess what was done by practitioner, decision making processes, what could have been done better, review of forensic strategy, overall outcome of items taken for analysis etc. 2 Simulated competence check. Providing the practitioner with a scenario with known outcomes and based on the relevant NOS. This can include ‘blind trials’ where known items are entered into the workflow unknown to the practitioner. 3 Observation (site visit). Line manager observes the practitioner undertake an agreed number of tasks to assess competence against agreed NOS. 4 Knowledge test. Practitioner sits a written knowledge test which is marked by competent peer or line manager to ensure practitioner had knowledge required to perform role competently. 5 Dip-sampling. A set number of ‘work products’ are sampled randomly every month to ensure consistency in competent delivery of work tasks. 6 Complete annual PDR. To ensure that staff carrying out the work in an appropriate manner, could include checks against code of practice as set by Forensic Science Regulator and a competence review.
Assessment type
Area of competence tested
Professional discussion witness testimony product evidence
Knowledge and understanding
Simulation
Knowledge, understanding and skills
Observation product evidence
Skills
Written test or computer based testing (CBT) Product evidence
Knowledge and understanding Consistency of performance over time Behavioural competence
Table 5 Links across the framework, competence tests, assessment types, area of competence assess and ISO/IEC 17025: 2005 (E) and ISO/IEC 17020:1998 (E). Framework area Type of test
Assessment type
Area of competence tested
Relevant part of ISO 17025
6 Point QMS
Professional discussion witness testimony product evidence Simulation
Knowledge and understanding
5.2.5
Knowledge, Understanding and skills Skills
5.2.1
6 Point QMS 6 Point QMS 6 Point QMS
6 Point QMS 6 Point QMS
A case review. Between line manager and practitioner to assess what was done by practitioner, decision making processes, what could have been done better, review of forensic strategy, overall outcome of items taken for analysis etc. Proficiency test. A simulated competence check providing the practitioner with a scenario with known outcomes and based on the relevant NOS. Site visit. Line manager observes the practitioner undertake an agreed number of tasks to assess competence against agreed NOS. Knowledge test. Practitioner sits a written knowledge test which is marked by competent peer or line manager to ensure practitioner had knowledge required to perform role competently. Dip-sampling. A set number of ‘work products’ are sampled randomly every month to ensure consistency in competent delivery of work tasks… Complete annual PDR. To ensure that staff carrying out the work in an appropriate manner, could include checks against code of practice as set by Forensic Science Regulator and competence review.
Observation product evidence Written test or computer Knowledge based testing (CBT)
5.2.1 5.2.5 5.2.1 5.2.5
Product evidence
5.2.1
Forensic science NOS Role profiles
Interestingly, the Forensic Science Society's Diplomas would appear to address the first four test areas — a case review, simulated competence check, observation and a knowledge test. Acknowledgements The author is grateful to the staff at the NPIA Forensic Centre for all their support, especially Keith Fryer, Sam Frost, Duncan Brown and Paula Mulroy. Paul Hunter and Phil Stokoe, also of the NPIA, provided helpful feedback. David Jarret-Knock and Roger King from Key Forensic Services Ltd have been very generous in letting us use their diagram mapping the NOS to the investigative process. Andrew Rennison, the Forensic Science Regulator, kindly funded the work. The members of the Skills for Justice Forensic Science Occupational Committee also gave constructive feedback and support for this paper for which the author is, as always, grateful.
Consistency of performance over time Behavioural competence
Relevant part of ISO 17020
8.2
5.2.5
8.4 8.5
5.2.2
8.1 8.3 8.1 8.3
5.2.4
Further Reading [1] European Network of Forensic Science Institutes, Performance Based Standards for Forensic Science Practitioners, ENFSI, The Netherlands, 2004http://www.enfsi.eu sourced on 30 August 2011. [2] Her Majesty's Inspectorate of Constabulary, Under the Microscope, HMIC, London, 2000. [3] International Organisation for Standardisation, ISO/IEC 17020: 1998 (E), ISO, Geneva, 1998. [4] International Organisation for Standardisation, ISO 10015: 1999, ISO, Geneva, 1999. [5] International Organisation for Standardisation, ISO/IEC 17025: 2005 (E), ISO, Geneva, 2005. [6] A. Rennison, Forensic Science Regulator's Draft Code of Practice, Home Office, London, 2010 http://www.homeoffice.gov.uk. [7] Skills for Justice, Forensic Science National Occupational Standards, Skills for Justice, Sheffield, 2007http://www.skillsforjustice-nosfinder.com. [8] Skills for Justice, The Functional Map of the Justice Sector, Skills for Justice, Sheffield, 2007 http://www.skillsforjustice-nosfinder.com.