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. 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.

2 The Ames Laboratory is operated for the US Department of Energy by Iowa State University, under contract No. 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 ..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.

3 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 ..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)..44 Electronic Signatures.

4 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 ..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.

5 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 ..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.)

6 173 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 - 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

7 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. A product-development methodology was employed to evaluate the relative value of the key features that constitute a LIMS, in order to develop a set of relative values for these features and the specifics of their implementation. In addition to the results of the product development analysis, this paper also provides an extensive review of LIMS and provides an overview of the preparation and planning process for the successful upgrade or implementation of a LIMS.

8 Analysis of the data indicate that the relative value of LIMS components are viewed differently depending upon respondents job roles ( , evidence technicians, scientists, and lab Management ), as well as by Laboratory size. Specifically, the data show that: Evidence technicians place the most value on chain of evidence capabilities and on chain of custody tracking Scientists generally place greatest value on report writing and generation, and on tracking daughter evidence that develops during their analyses. 2 Lab Managers place the greatest value on chain of custody, daughter evidence, and not surprisingly, Management reporting capabilities. Lab size affects LIMS preference in that, while all labs place daughter evidence tracking, chain of custody, and Management and analyst report generation as their top three priorities, the order of this prioritization is size dependent.

9 The following tables present a summary of the analyses in the larger paper. Aggregate Response: Importance of LIMS Abilities Total Daughter evidence Management and Analyst Report Preparation Chain of Custody Transfer system Command Navigation Generation of Analyst Summary Statistics Pre-logging Data Entry Case Prioritization Screen Manipulation Case Evidence Status Court system status Case Grouping Query Access to Management Data Interface with analytical equipment Terminal Mobility Analyst Assignment Asset Management Personnel Certification Management 3 Ideal LIMS Based on Aggregate Response Daughter Evidence items can be created as a new piece of evidence in a case with clear links to parent evidence items and the case High level of Data Entry automation When evidence is transferred within the Laboratory , Chain of Custody Information is automatically entered into the computer by scanning bar codes Supports keystroke shortcuts for Navigation as well as typed commands and GUI for Navigation The LIMS allows analysts to create or access Summary Statistics showing performance, backlog, and other case Information Importance of LIMS attributes Preferred LIMS configuration for.

10 L Small-Sized Laboratories Daughter evidence Chain of Custody Transfer Management and Analyst Report Preparation Pre-logging system Command Navigation Case Grouping Query Access to Management Data Generation of Analyst Summary Statistics Case Prioritization Court system status Data Entry Screen Manipulation Terminal Mobility Analyst Assignment Case Evidence Status Interface with analytical equipment Personnel Certification Management Asset Management Small-Sized Laboratories Daughter Evidence items can be created as a new piece of evidence in a case with clear links to parent evidence items and the case. When evidence is transferred within the Laboratory , Chain of Custody Information is automatically entered into the computer by scanning bar codes. The LIMS provides templates for analyst Report Preparation and provides automatic field entry through drop-down boxes and automatic word/phrase completion.