Laboratory Information Management Systems for …

1 Laboratory Information Management Systems for Forensic Laboratories: A White Paper for Directors and Decision Makers Principal Investigators Anthony R. Hendrickson, Creighton University College of Business Administration 2500 California Plaza Omaha, NE 68178 (402) 280-2852 Brian Mennecke, Iowa State University College of Business 2200 Gerdin Business Building Ames, IA 50011-1350 (515) 294-8100 Kevin Scheibe, Iowa State University College of Business 2200 Gerdin Business Building Ames, IA 50011-1350 (515) 294-0545 Anthony M.

2 Townsend, Iowa State University College of Business 2200 Gerdin Business Building Ames, IA 50011-1350 (515) 294-7834 Research Staff Christopher S. Pilson, Iowa State University College of Business 2200 Gerdin Business Building Ames, IA 50011-1350 (515) 294-2002 September 30, 2005 This work was funded by the National Institute of Justice, through the Midwest Forensics Resource Center at Ames Laboratory under interagency agreement number 2002-LP-R-083. The Ames Laboratory is operated for the US Department of Energy by Iowa State University, under contract No.

3 W-7405-Eng-82. Table of Contents EXECUTIVE SUMMARY ..1 INTRODUCTION ..8 OVERVIEW OF Laboratory Information Management Systems .11 Log-In Operational Data ..11 Evidentiary Data ..12 Billing Data ..12 Evidence Tracking ..12 Bar Coding and Evidence Tracking ..13 Support for Analyst Functions ..14 Analysis Evidence Collection and Submission ..14 Evidence Distribution of Samples ..15 Schedule of Analysis ..15 Analysis ..15 Sample Sample Measurement ..16 Verification and Correction ..16 Interpretation ..17 Disposal of Sample Materials.

4 17 Biometric Identification ..18 Results from Scientific Analysis ..18 Review of Scientific Analysis Audit Trails ..19 Reporting the ADVANCED FEATURES OF Evidence Analysis Scheduling ..20 Instrumentation Validation & Enhanced Data Quality ..22 Data Entry Double Data Entry Screens ..23 Range and Limit Checking ..23 Limit to List ..23 Automatic Automatic Reduced Turnaround Time ..24 Supply Inventory Management ..24 Human Resource Data Data Scheduling: ..28 OVERVIEW OF LIMS Standard Systems Development Life Cycle ..29 system Definition.

5 30 Feasibility Analysis ..31 Functional Requirements ..35 Reporting Requirements ..36 Data Capture Technical Requirements ..36 Functional Technical Design ..37 Implementation ..38 Personnel Training ..38 Data system system system Integration ..40 system Evaluation and Maintenance ..40 Vendor Vendor Review ..41 Technical Assessment of In-House Personnel Skills ..42 Resource Availability ..42 Hardware & Software Considerations ..42 ADDITIONAL LIMS Regulatory Issues ..43 ISO 9000 ..43 ISO Guide Good Automated Laboratory Practices (GALP).

6 44 Electronic Signatures ..45 National Environmental Laboratory Accreditation Conference (NELAC)..45 ANALYSIS OF COMMERCIALLY-AVAILABLE LIMS ..48 IN SITU EXAMINATION OF LIMS IMPLEMENTATIONS ..49 Lab Structure and Absolute size ..50 Differences in Users ..51 Administrative Users ..52 Scientific Evidence Technicians and Administrative Personnel ..53 LIMS In-house Commercial Systems ..56 Commercial versus Process Engineering Issues ..58 LIMS integration with Police Evidence Management Systems (PEMS) and other Requesting Agency Evidentiary Within-Process Use of Evidence Technicians.

7 61 Evidence control as a driver of chain-of-custody and barcoding ..63 Other Information system The paperless imperative ..65 Laboratory Information Management QUANTITATIVE RESEARCH ..66 An Overview of Conjoint Conjoint Methodology ..69 Conjoint Survey Structure ..72 Research Procedures ..74 Results ..76 Conjoint Conjoint Analysis: Aggregate Results ..79 Conjoint Analysis: Laboratory Conjoint Analysis: Personnel Level ..85 Conjoint Analysis: LIMS IMPLICATIONS OF ANALYSIS ..93 REFERENCES ..98 APPENDIX A GENERIC Laboratory PROCESS APPENDIX B TIGHTLY-COUPLED Laboratory PROCESS APPENDIX C LOOSELY-COUPLED Laboratory PROCESS FLOW102 APPENDIX D LIMS PROVIDERS.

8 103 APPENDIX E FORENSIC LIMS VENDOR REVIEWS ..135 Porter Lee Forensic Technology Justice Trax, Promadis ..156 StarLIMS Corporation ..159 APPENDIX F CONJOINT ANALYSIS ..167 Aggregate Results ..167 Average Utility Values: Average Utility Values: Aggregate (cont.)..168 Average Importances ..168 Conjoint Analysis: Average Utility Values: LabSize ..169 Average Utility Values: LabSize (cont.)..170 Average Importances by Conjoint Analysis: Personnel Level ..172 Average Utility Values: Personnel Average Utility Values: Personnel Level (cont.)

9 173 Average Importances by Personnel Level ..173 Conjoint Analysis: LIMS Average Utility Values: LIMS Vendor/Source ..175 Average Utility Values: LIMS Vendor/Source (cont.) ..176 Average Importances by LIMS Vendor/Source ..176 APPENDIX G RESEARCH SOLICITATION Table Index Table 1 - Types of Biometric Identification 18 Table 2 Forensic LIMS Vendors or 77 Table 3 Importance: Aggregate 80 Table 4 - Ideal LIMS Based on Aggregate 80 Table 5 - Importance for Small-Sized 81 Table 6 - Ideal LIMS for Small-Sized 81 Table 7 - Importance for Medium-Sized 83 Table 8 - Ideal LIMS for Medium-Sized 83 Table 9 - Importance for Large-Sized 84 Table 10 - Ideal LIMS for Large-Sized 84 Table 11 - Importance for Clerical / Evidence 86 Table 12 - Ideal LIMS for Clerical / Evidence 86 Table 13 - Importance for Analysts / 87 Table 14- Ideal LIMS for Analysts / 88 Table 15 - Importance for 89 Table 16

10 - Ideal LIMS for 89 Table 17 - Importance for Respondents with In-House 90 Table 18 - Ideal LIMS for Respondents with In-House 90 Table 19 - Importance for Respondents with Systems from External 92 Table 20 - Ideal LIMS Systems for Respondents with Systems from External 92 1 EXECUTIVE SUMMARY Modern forensics laboratories need LIMS implementations that allow the lab to track evidentiary items through their examination lifecycle and also serve all pertinent Laboratory personnel. The research presented here presents LIMS core requirements as viewed by respondents serving in different forensic Laboratory capacities as well as different forensic Laboratory environments.