External DNA Audits

External DNA Audit Program

Funded by a Cooperative Agreement with the National Institute of Justice (NIJ), Office of Science & Technology, free DNA external audits for government laboratories became available through the NFSTC in 2002.

The NFSTC continues to perform DNA audits in publicly funded crime laboratories through the NIJ Cooperative Agreement.

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DNA Helix

Stakeholder Feedback

Audit Features

  • Use of the “Quality Assurance Audit For Forensic DNA And Convicted Offender DNA Databasing Laboratories” checklist approved by the National DNA Index System (NDIS)
  • Assessors trained by the FBI in the use of the above Audit document, as required by NDIS
  • Audit teams and audit duration scaled to meet laboratory staff size
  • Each audit is headed by a Lead Assessor who has considerable experience in auditing
  • Audit document checklist completed in compliance with NDIS requirements
  • Reports are reviewed for consistency in interpretation before issuance
  • Report of findings and observations to the laboratory management and to NDIS
  • Free of all charges to the audited laboratory

Laboratories are eligible to be scheduled for external DNA audits biennially.

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Audited Laboratories by Year

 
Year
Number of Audits Delivered
List of Audited Laboratories
2002
                            34 (began May 2002)
2003
57
2004
81
2005
69
2006
107
2007
41
TOTAL
389
  
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Observations for DNA Laboratory QA Improvement

The document linked below (Observations for DNA Laboratory Quality Improvement) recaps frequently found issues from DNA audits. These observations are not to be construed as requirements. They are suggestions made by individual assessors during DNA audits to assist laboratories in improving quality system operations. They are included here for educational purposes only.

 Observations for DNA Laboratory Quality Improvement

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Schedule an External DNA Audit

Laboratories that would like to schedule an external DNA audit can complete the Pre-Assessment Profile form.

Download, complete the form, and e-mail to assessment@nfstc.org.

Following receipt of the form, a program associate will contact you to schedule your audit.

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DNA Audit Preparation

The Audit Team will require a small conference room or an area where they can conduct their business uninterrupted. Upon arrival of the team, a short meeting will be held with designated individuals from the agency and the Audit Team.  Introductions and a brief explanation of the audit process will be provided by the lead auditor.

Please ensure that the following materials are provided to the Audit Team:

  • A copy of manuals covering quality, procedures, training, and  safety
  • A copy of the last external and last internal DNA audits ("Quality Assurance Audit for Forensic DNA and Convicted Offender DNA Databasing Laboratories") and the remediations (if applicable).
  • A list of DNA staff.

Upon completion of the audit process, the lead auditor will provide a short summary of any potential findings.   The lead auditor will advise the laboratory staff that this report is a draft report that will not be finalized until the completion of an extensive review process.  The laboratory may contest any final finding with NDIS once they have received their final report and forwarded it (as required) to NDIS.      

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Analyst Certificates

As of May 2002, the NIJ-supported Free DNA Audit Program has provided DNA audits to government crime laboratories s across the nation.

From the first audit, the NFSTC assessors have listed the names of qualified DNA Analysts, DNA Technical Managers, and CODIS Managers into the Audit-generated report. This provides proof that the work experience, education, training, and competency tests of the analysts/managers were examined by the audit team.

Beginning July 1, 2004, the audit program began using the new audit document issued by the FBI and SWGDAM.

The discussion under Standard 5.1 states:

A list of the individuals in compliance with Standard 5.1 will be incorporated by the assessor into the Comment section below. The credentials for those individuals found to be in compliance with Standard 5.1 after two successive external audits do not need to be reviewed.

Upon a specific request to the Assessment Program Director, the NFSTC may provide a certificate of compliance with this standard to individuals whose credentials were reviewed by two successive NFSTC audit teams. The certificates identify the recipient as a DNA Analyst, CODIS Manager, or DNA Technical Manager.  The audited laboratory must directly supply the individual’s name and title that meets the requirements to the Assessment Program Director.  

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Final Report Process

The NFSTC Assessment Program provides for a comprehensive review for all generated assessment reports.  All reports, both DNA QAS Audit Reports and Grant Assessment Reports, progress through a four step review process. 

Upon completion of this review process, DNA QAS Audit Reports are sent to the audited laboratory, which is required to forward the report to NDIS.  Grant Assessment Reports and a copy of the DNA QAS Audit Reports (if applicable) are forwarded to the National Institute of Justice for processing.

Contact Information

To request additional information about this program, contact via email: assessment@nfstc.org

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