Forensic Laboratory Reporting Policy

Reporting Opinions and Interpretations Outside the Scope of Accreditation

Forensic Laboratory Reporting Policy

The presentation of the Forensic Scientist’s work is a major element in the work performance. This is initially accomplished through the issuing of a clear and concise written report that is scientifically sound yet understandable to the intended recipient. To this, each forensic discipline of the Forensic Laboratory has developed a standard Forensic Laboratory Report format. All forensic examinations and analyses conducted by Forensic Scientists is documented utilizing an official RFSC Forensic Laboratory Report. Each Forensic Laboratory report and/or case record includes:

a title (e.g., Forensic Laboratory Report, Addendum Report, etc.);
the name and address of the Forensic Laboratory (all work reported on the Forensic Laboratory report is conducted in the Forensic Laboratory, unless otherwise noted on the report);
the location of performance of the Forensic Laboratory activities, including when performed at a customer facility or at sites away from the Forensic Laboratory’s permanent facilities, or in associated temporary or mobile facilities;
the case number which consists of the year and a five digit number beginning each January 1 with 00001 (example: 11-01234), the Toxicology Lab uses a four digit number beginning each January 1 with 0001 (example: 11-0123) and the author’s signature(s) at the end of the report, or if the case originated in FA LIMS the Toxicology Lab will no
longer use the four digit numbering system;
the name and address of the contributor representative;
identification of the test method used;
a description of, the condition of, and unambiguous identification of the item(s) tested;
the date of the receipt of the test item(s) and the date of sampling, where this is critical to the validity and application of the results;
date or dates of test performance, which may be a range of dates or the
date of each activity;
report date;
reference to the sampling plan and procedure used by the laboratory section or others if known or applicable;
where relevant, a statement or clear indication to the effect that the
results relate only to the items tested or sampled
the test or examination results with units of measurement (if applicable);
additions to, deviations, or exclusions from the method;
the name(s), job title(s), and signature(s) of person(s) authoring the laboratory report, which is not necessarily performed by the same person(s) who authorize the results; and,
clear identification when results are from external providers

The reports include page number and total number of pages in the format 1 of 3 or 1/3.

Each report contains the statement: "This report shall not be reproduced except in full, without the written approval
of the Regional Forensic Science Center."

Laboratory reports may not contain certain components from the above list; however, record of each that is not contained in a report is maintained within the case record.

The responsible Forensic Scientist authors or directs the writing of the Case [Laboratory] Report. The report contains the appropriate demographic/identifying information, to include but not limited to the date received and Laboratory Case Number. Reports also contain, at a minimum, the items examined and the results of the examination.

Reported opinions, conclusions, and/or interpretations are based on the results obtained from tested items are clearly identified as such in the report.

Report Author Involvement - The author(s) of each laboratory report have conducted, participated in, observed, supervised, or technically reviewed the actual examination or testing to which the report refers. The signatory of the
report must have firsthand knowledge of the examination or analysis utilized in the evaluation of the evidence.

The date the evidence was submitted is provided in the report in the Evidence Description (or similarly named) section. If the report is not generated within FA LIMS and there are multiple submissions of evidence on a case, the “Date
Received” in the header information of the report is the date the first item of evidence is received.

The results and/or conclusions of all examinations in the laboratory are recorded on a Laboratory Report.

Communication of Associations in Reports - When associations are made, the significance of each association is communicated clearly and qualified properly in the laboratory report.

Eliminations - When comparative examinations result in the elimination of an individual or object, the test report clearly communicates the elimination.

Documentation of No Conclusions – When no definitive conclusions can be reached in the examination of evidence such as inconclusive results, the reason or reasons for that finding are documented in the case file or case record (case notes) and are clearly communicated in the Laboratory Report.

Laboratory Reports are permanently produced. They are retained in the case record under the Lab Report tab of FA LIMS. Alternatively, if the Laboratory Report is not generated within FA LIMS a photocopy of the original is retained in the case file and scanned copy is retained in the Case Record Object Repository.

For Laboratory Reports not generated within FA LIMS, the original laboratory report has the original inked signature of the author (examiner/scientist) of the report. The reported date is the date the report is signed; or, if the laboratory report is generated in FA LIMS the signature of the report author (examiner/scientist) is electronically placed by the FA LIMS at the time of report release. Access to the FA LIMS is password secure.

DNA Reports also have items listed in the FBI-QAS standards. Any specific criteria is listed in the DNA Quality Manual.

The information presented on laboratory reports for items received from our contributors includes a description of all evidence received into custody by the laboratory section scientist from the Center’s Evidence Section, including items on which no work was performed; the disposition of all items received; derivatives of examinations and their disposition; and results for all completed examinations.

The disposition (e.g., returned to agency, retained by the laboratory, consumed for analysis, or other dispositions) of all evidentiary items received from outside agencies is communicated to the submitting agency in the Laboratory Report and/or on the chain-of-custody documents, if applicable, that are signed by the law enforcement agent at the time of evidence and report pick-up. Post-mortem Toxicology specimens are retained and disposed per other policies and procedures.

Reporting Opinions and Interpretations Outside the Scope of Accreditation

The Forensic Laboratory may generate reports, to meet contributor needs, that include results outside the scope of accreditation with the following provisions to ensure that these types of results are clear and cannot be interpreted as being for tests covered by the scope of accreditation:

• When none of the test results fall within the scope of accreditation, reference to or implications of accreditations may not be used on reports, attachments or enclosed letters (including stationary).

• When test reports contain results that fall both within the scope of accreditation and outside the scope of accreditation, reference to or implications of accreditation on reports when there is a combination of test results not covered by the scope of accreditation included along with accredited test results only if the those results not covered by the accreditation are clearly identified as such by a clear disclaimer (e.g., “This laboratory is not accredited for the test(s) marked *”), or other similar means to delineate the results being reported that are outside the scope of accreditation.

In the event a contributor requests the Forensic Laboratory to issue additional comments about testing in regards to specific items, samples or batches or on the interpretation of the results obtained, such statements may be included in the endorsed Laboratory Report following the below guidelines:

• Any statement of interpretation of results in an endorsed laboratory report are based on those results for which accreditation is held.

• When opinions and interpretations are outside the laboratory’s scope of accreditation, the laboratory includes a disclaimer in the report, close to the reference of accreditation status, or the expression of opinion, such as: “The opinions/interpretations expressed in this report are outside the scope of this laboratory’s accreditation”.

• Another option is to provide opinions and interpretations that are outside the scope of accreditation in a separate document which is not part of the endorsed test and does not contain a reference or implication of accreditation.

Reporting Subcontracted Test Results

When subcontracting of tests occurs, the laboratory may include results of the subcontracted results in Forensic Laboratory reports.

In the event that subcontracted results are included in Laboratory Reports, the laboratory meets the following:
• The contributor is made aware of subcontracting, and where appropriate, obtains approval from the contributor.
• The subcontractor itself is accredited, where feasible, by an accrediting body that is a signatory to the ILAC MRA for the specific tests concerned, and the results are included in the subcontracting laboratory’s endorsed report.

If the subcontractor itself is not accredited for the testing work performed, the results of the test are clearly indicated as being outside the scope of accreditation.

Where all tests or calibrations are subcontracted to a laboratory that is not accredited, no markings claiming accreditation may be used on any reports issued by the Forensic Laboratory.

Forensic Laboratory Reporting Policy

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